Former Founders Financial Securities Broker Bruce Worthington is Under Investigation for Misappropriation of Funds
The Sonn Law Group is actively investigating claims that former broker Bruce Worthington misappropriated investor funds. If you suffered losses working with Mr. Worthington, we want to speak to you immediately. Please contact our law firm at (866) 827–3202 for a free consultation.
Bruce Colin Worthington (CRD #2193895) is a previously registered securities broker. From 1999 to 2013, Mr. Worthington was employed at Commonwealth Financial Network in Rowley, MA. After that, he served as a representative for Founders Financial Securities in Middleton, MA (2013 to 2018).
Barred Broker: Bruce Worthington Formerly of Founders Financial Securities
In September of 2018, Bruce Worthington was discharged by Founders Financial Securities after allegations of misconduct arose regarding how he handled customer funds prior to his employment at the firm.
After his termination, FINRA requested additional information from Mr. Worthington. As of March 11th, 2019, no information was provided, despite multiple requests being sent by the agency. This lack of compliance is a violation of securities industry regulations. As a result, Bruce C. Worthington has been barred from the industry.
It should be noted that state regulators are now reviewing the conduct of this financial advisor. In February of 2019, the Massachusetts Securities Division opened up an official investigation into the allegations of misappropriation of customer funds that have been raised against Bruce Worthington. This investigation is still pending. Current and former customers of Mr. Worthington should look for additional updates in the future.
Jeffrey R. Sonn is an experienced investment fraud attorney. If you suffered losses working with former Founders Financial Securities broker Bruce Worthington or any other financial professional, we are here to help. Contact us today for a free, fully confidential initial consultation.
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