William Athas is a New York-based securities broker. He has worked in the securities industry for twenty years. During his career, he has been registered with twelve different securities firms.
His registrations include; Seaboard Securities (1999-2002), Emmet A. Larking Company (2002-2004), J.P. Turner & Company (2004-2006), J.W. Cole Financial (2006), Liberty Partners Financial (2006-2010), Avalon Partners (2010-2011), Aegis Capital Corp. (2011), CBG Financial Group (2011-2013), Dalton Strategic Investment Services (2013-2014), Securities America (2014), K.C. Ward Financial (2014-2016), and Worden Capital Management (2016-Present).
William Athas’ publicly available FINRA BrokerCheck report shows that he has received multiple customer complaints over the course of his career.
In August 2001, a customer complained that they experienced losses due to margin trading.
In January 2004, a customer alleged unauthorized trading and excessive commissions.
In December 2005, a customer alleged that William Athas traded their account without authorization. This case was settled for $40,000 in damages.
In July 2009, a customer alleged churning, unsuitability, negligence, breach of contract, misrepresentation, and omissions. This case was settled for $30,000 in damages.
In July 2011, a customer alleged churning and excessive trading.
In January 2017, a customer alleged churning, unauthorized trading, unsuitability, excessive trading, unauthorized use of margin, negligence, gross negligence, breach of contract, breach of fiduciary duty, and more. This case was settled for $95,000 in damages.
Oakes & Fosher dedicates its entire legal practice to helping investors across the nation. If you, or someone you know, have lost money investing with William Athas, please contact Oakes & Fosher for a free and private consultation.