Gregory Bodkin: Did He Fail to Supervise?
Gregory Bodkin (CRD #: 3008389), a broker registered with Worden Capital Management, is facing six pending investor disputes, according to his BrokerCheck record, accessed on September 28, 2021. All of the disputes allege failure to supervise – keep reading to learn more about supervision requirements.
FINRA’s Supervisory Rule
FINRA 3110 requires firms to maintain a supervisory system reasonably designed to achieve compliance with FINRA rules. It also requires that the firm designate a registered principle whose job it is to carry out supervisory responsibilities. The firm must make reasonable efforts to determine that all supervisory personnel are qualified, either by experience or training.
On July 8, 2021, an investor alleged that Gregory Bodkin failed to supervise. The Investor is seeking $330,113; the dispute is pending.
There is a similar dispute from just one day prior. On July 7, 2021, an investor once again alleged that Gregory Bodkin failed to supervise. The investor is seeking $653,700; the dispute is pending.
On March 11, 2020, investors alleged that Gregory Bodkin failed to supervise from 2015 to 2019. The investors are seeking $1,025,551; the dispute is pending.
There are three similar disputes from 2020 to 2021.
Gregory Bodkin also has a financial disclosure on his record. On March 1, 2019, he became the subject of a tax lien for $70,031.
Gregory Bodkin Background Information
He has passed the following exams:
- Series 65 Uniform Investment Adviser Law Examination
- Series 63 Uniform Securities Agent State Law Examination
- Securities Industry Essentials Examination
- Series 87 Research Analyst Exam – Part II Regulations Module
- Series 53 Municipal Securities Principal Examination
- Series 4 Registered Options Principal Examination
- Series 24 General Securities Principal Examination
Gregory Bodkin has worked for the following firms:
- Worden Capital Management (CRD #: 148366)
- IDB Capital Corp (CRD #: 106032)
- Henley & Company (CRD #: 131453)
Kurta Law Can Help
If you worked with Gregory Bodkin and you have concerns about your investments, contact Kurta Law today. Call 877-600-0098 or email firstname.lastname@example.org.