KEVIN RICHARD WILSON · 2020. 9. 7. · KEVIN R. WILSON CRD# 3262701 Currently employed by and registered with the following Firm(s): WORDEN CAPITAL MANAGEMENT LLC 40 Wall Street,

BrokerCheck Report

KEVIN RICHARD WILSON

Section Title

Report Summary

Broker Qualifications

Registration and Employment History

Disclosure Events

CRD# 3262701

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2 - 4

6 - 7

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Page(s)

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About BrokerCheck®

BrokerCheck offers information on all current, and many former, registered securities brokers, and all current and formerregistered securities firms. FINRA strongly encourages investors to use BrokerCheck to check the background ofsecurities brokers and brokerage firms before deciding to conduct, or continue to conduct, business with them.

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KEVIN R. WILSON

CRD# 3262701

Currently employed by and registered with thefollowing Firm(s):

WORDEN CAPITAL MANAGEMENT LLC40 Wall Street, Floor 7New York, NY 10005CRD# 148366Registered with this firm since: 11/29/2019

B

Report Summary for this Broker

This report summary provides an overview of the broker's professional background and conduct. Additionalinformation can be found in the detailed report.

Disclosure Events

All individuals registered to sell securities or provideinvestment advice are required to disclose customercomplaints and arbitrations, regulatory actions,employment terminations, bankruptcy filings, andcriminal or civil judicial proceedings.

Are there events disclosed about this broker? Yes

The following types of disclosures have beenreported:

Type Count

Customer Dispute 9


This broker is registered with:

1 Self-Regulatory Organization

18 U.S. states and territories

This broker has passed:

0 Principal/Supervisory Exams

2 General Industry/Product Exams

1 State Securities Law Exam

Registration History

This broker was previously registered with thefollowing securities firm(s):

NATIONAL SECURITIES CORPORATIONCRD# 7569NEW YORK, NY08/2017 - 12/2019

B

LAIDLAW & COMPANY (UK) LTD.CRD# 119037NEW YORK, NY10/2010 - 09/2017

B

AEGIS CAPITAL CORP.CRD# 15007NEW YORK, NY12/2008 - 11/2010

B

www.finra.org/brokercheck User Guidance

1�2021 FINRA. All rights reserved. Report about KEVIN R. WILSON.


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Registrations

This section provides the self-regulatory organizations (SROs) and U.S. states/territories the broker is currently registered and licensed with, thecategory of each license, and the date on which it became effective. This section also provides, for every brokerage firm with which the broker iscurrently employed, the address of each branch where the broker works.

This individual is currently registered with 1 SRO and is licensed in 18 U.S. states and territories through his or her employer.

Employment 1 of 1Firm Name:

Main Office Address:

Firm CRD#:

WORDEN CAPITAL MANAGEMENT LLC

148366

100 RING ROAD WESTSUITE 210GARDEN CITY, NY 11530

SRO Category Status Date

B FINRA General Securities Representative APPROVED 11/29/2019

B FINRA Investment Banking Representative APPROVED 11/29/2019

BU.S. State/ Territory Category Status Date

B Alabama Agent APPROVED 01/31/2020

B Connecticut Agent APPROVED 12/02/2019

B Delaware Agent APPROVED 03/17/2020

B Florida Agent APPROVED 05/04/2020

B Georgia Agent APPROVED 11/29/2019

B Indiana Agent APPROVED 02/20/2020

B Kansas Agent APPROVED 01/07/2020

B Louisiana Agent APPROVED 05/12/2020

B Michigan Agent APPROVED 05/05/2020

B Mississippi Agent APPROVED 05/11/2020

B Nevada Agent APPROVED 06/23/2020





http://www.finra.org/brokercheck_glossary



Employment 1 of 1, continued

BU.S. State/ Territory Category Status Date

B New Jersey Agent APPROVED 01/14/2020

B New Mexico Agent APPROVED 02/05/2020

B New York Agent APPROVED 11/29/2019

B Pennsylvania Agent APPROVED 01/02/2020

B Rhode Island Agent APPROVED 05/08/2020

B South Dakota Agent APPROVED 07/28/2020

B Vermont Agent APPROVED 01/23/2020

Branch Office Locations

WORDEN CAPITAL MANAGEMENT LLC40 Wall Street, Floor 7New York, NY 10005







Industry Exams this Broker has Passed

This individual has passed 0 principal/supervisory exams, 2 general industry/product exams, and 1 state securities law exam.

This section includes all securities industry exams that the broker has passed. Under limited circumstances, a broker may attain a registrationafter receiving an exam waiver based on exams the broker has passed and/or qualifying work experience. Any exam waivers that the broker hasreceived are not included below.

Exam Category Date

Principal/Supervisory Exams

No information reported.

Exam Category Date

General Industry/Product Exams

Securities Industry Essentials Examination 10/01/2018SIEB

General Securities Representative Examination 11/09/1999Series 7B

Exam Category Date

State Securities Law Exams

Uniform Securities Agent State Law Examination 01/10/2000Series 63B

Additional information about the above exams or other exams FINRA administers to brokers and other securities professionals can be found atwww.finra.org/brokerqualifications/registeredrep/.





www.finra.org/brokerqualifications/registeredrep/



Professional Designations

This section details that the representative has reported 0 professional designation(s).

No information reported.







Registration History

Registration Dates Firm Name CRD# Branch Location

The broker previously was registered with the following firms:

B 08/2017 - 12/2019 NATIONAL SECURITIES CORPORATION 7569 NEW YORK, NY

B 10/2010 - 09/2017 LAIDLAW & COMPANY (UK) LTD. 119037 NEW YORK, NY

B 12/2008 - 11/2010 AEGIS CAPITAL CORP. 15007 NEW YORK, NY

B 08/2006 - 01/2009 GILFORD SECURITIES INCORPORATED 8076 NEW YORK, NY

B 03/2005 - 09/2006 WESTMINSTER SECURITIESCORPORATION

6105 NEW YORK, NY

B 06/2001 - 04/2005 CASIMIR CAPITAL L.P. 105061 GREENWICH, CT

B 11/2002 - 03/2003 KUHNS BROTHERS SECURITIESCORPORATION

47331 LIME ROCK, CT

B 11/1999 - 07/2001 SANDS BROTHERS & CO., LTD. 26816 NEW YORK, NY

Employment History

Employment Employer Name Investment RelatedPosition Employer Location

This section provides up to 10 years of an individual broker's employment history as reported by the individual broker on the most recently filedForm U4.

Please note that the broker is required to provide this information only while registered with FINRA or a national securities exchangeand the information is not updated via Form U4 after the broker ceases to be registered. Therefore, an employment end date of"Present" may not reflect the broker's current employment status.

11/2019 - Present WORDEN CAPITAL MANAGEMENT LLC REGISTEREDREPRESENTATIVE

Y NEW YORK, NY, UnitedStates

08/2017 - 11/2019 NATIONAL SECURITIES CORPORTAION REGISTEREDREPRESENTATIVE

Y NEW YORK, NY, UnitedStates

10/2010 - 08/2017 LAIDLAW & COMPANY (UK) LTD REGISTEREDREPRESENTATIVE

N NEW YORK, NY, UnitedStates







Other Business Activities

This section includes information, if any, as provided by the broker regarding other business activities the broker is currently engaged in either asa proprietor, partner, officer, director, employee, trustee, agent or otherwise. This section does not include non-investment related activity that isexclusively charitable, civic, religious or fraternal and is recognized as tax exempt.

KRW INC, PASS THROUGH CORP/BILL PAYING ONLY,ABERDEEN, NJ, OWNER, START 8-2017 ZERO HRS PER MONTH






Disclosure Events

What you should know about reported disclosure events:

1. All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations,regulatory actions, employment terminations, bankruptcy filings, and criminal or civil judicial proceedings.

2. Certain thresholds must be met before an event is reported to CRD, for example: o A law enforcement agency must file formal charges before a broker is required to disclose a particular criminal event. o A customer dispute must involve allegations that a broker engaged in activity that violates certain rules or conduct governing the

industry and that the activity resulted in damages of at least $5,000. o

3. Disclosure events in BrokerCheck reports come from different sources: o As mentioned at the beginning of this report, information contained in BrokerCheck comes from brokers, brokerage firms and

regulators. When more than one of these sources reports information for the same disclosure event, all versions of the event willappear in the BrokerCheck report. The different versions will be separated by a solid line with the reporting source labeled.

o4. There are different statuses and dispositions for disclosure events:

o A disclosure event may have a status of pending, on appeal, or final.§ A "pending" event involves allegations that have not been proven or formally adjudicated.§ An event that is "on appeal" involves allegations that have been adjudicated but are currently being appealed.§ A "final" event has been concluded and its resolution is not subject to change.

o A final event generally has a disposition of adjudicated, settled or otherwise resolved.§ An "adjudicated" matter includes a disposition by (1) a court of law in a criminal or civil matter, or (2) an administrative

panel in an action brought by a regulator that is contested by the party charged with some alleged wrongdoing.§ A "settled" matter generally involves an agreement by the parties to resolve the matter. Please note that brokers and

brokerage firms may choose to settle customer disputes or regulatory matters for business or other reasons.§ A "resolved" matter usually involves no payment to the customer and no finding of wrongdoing on the part of the

individual broker. Such matters generally involve customer disputes.

For your convenience, below is a matrix of the number and status of disclosure events involving this broker. Further informationregarding these events can be found in the subsequent pages of this report. You also may wish to contact the broker to obtain furtherinformation regarding these events.

Final On AppealPending

Customer Dispute 5 4 N/A






Disclosure Event Details

When evaluating this information, please keep in mind that a discloure event may be pending or involve allegations that are contested and havenot been resolved or proven. The matter may, in the end, be withdrawn, dismissed, resolved in favor of the broker, or concluded through anegotiated settlement for certain business reasons (e.g., to maintain customer relationships or to limit the litigation costs associated with disputingthe allegations) with no admission or finding of wrongdoing.

This report provides the information exactly as it was reported to CRD and therefore some of the specific data fields contained in the report maybe blank if the information was not provided to CRD.

Customer Dispute - Settled

This type of disclosure event involves a consumer-initiated, investment-related complaint, arbitration proceeding or civil suit containing allegationsof sale practice violations against the broker that resulted in a monetary settlement to the customer.

Disclosure 1 of 3

Reporting Source: Firm

Employing firm whenactivities occurred which ledto the complaint:

Allegations:

Laidlaw & Company (UK) Ltd.

Client alleges unsuitability from 2013-2017

Product Type: Other: PRIVATE PLACEMENTS

Alleged Damages: $130,000.00

Date Complaint Received: 07/21/2020

Complaint Pending? No

Status:

Customer Complaint Information

Is this an oral complaint? No

Is this a written complaint? Yes

Is this an arbitration/CFTCreparation or civil litigation?

No

Arbitration/Reparation forumor court name and location:

Docket/Case #:

Filing date ofarbitration/CFTC reparationor civil litigation:

07/21/2020






Status:

Status Date: 08/14/2020

Settlement Amount: $62,500.00

Individual ContributionAmount:

$0.00

Settled

iReporting Source: Broker


Allegations:

Laidlaw & Company (UK) Ltd.

Client alleges unsuitability from 2013-2017





Status:




$0.00


Settled




No


Docket/Case #:


07/21/2020






Disclosure 2 of 3

i



Allegations:

Laidlaw and Company (UK) Ltd.

Client alleges unsuitable recommendations from 2014-2017

Product Type: Equity-OTCEquity Listed (Common & Preferred Stock)Other: Private Placements




Status:




$0.00


Settled




Yes


FINRA

Docket/Case #: 18-03970


11/27/2018



LAIDLAW & COMPANY (UK) LTD







Allegations:


Client alleges unsuitable recommendations from 2014-2017

Product Type: Equity-OTCEquity Listed (Common & Preferred Stock)Other: PRIVATE PLACEMENTS




Status:




$0.00

Broker Statement THIS IS A BASELESS CLAIM WHICH THE RR INTENDS TO VIGOROUSLYDEFEND.


Settled




Yes


FINRA



11/27/2018

Disclosure 3 of 3

i








Allegations:

Laidaw & Company (UK) Ltd.

Client alleges unsuitability and over concentration from 2009 to 2017

Product Type: Other: Private Placements




Status:




$0.00


Settled




Yes


FINRA



07/09/2018



Allegations:


CLIENT ALLEGES UNSUITABILITY AND OVER CONCENTRATION FROM 2009TO 2017










Status:




$0.00



Settled




Yes


FINRA



07/09/2018






Customer Dispute - Closed-No Action / Withdrawn / Dismissed / Denied

This type of disclosure event involves (1) a pending consumer-initiated, investment-related arbitration or civil suit that contains allegations of salespractice violations against the broker; or (2) a pending, consumer-initiated, investment-related written complaint containing allegations that thebroker engaged in, sales practice violations resulting in compensatory damages of at least $5,000, forgery, theft, or misappropriation, orconversion of funds or securities.

Disclosure 1 of 1

Reporting Source: Broker


Allegations:

LAIDLAW & COMPANY

MISREPRESENTATION

Product Type: Other: PRIVATE PLACEMENT




Status:


Settlement Amount:



Closed/No Action




No






Customer Dispute - Pending

This type of disclosure event involves (1) a pending consumer-initiated, investment-related arbitration or civil suit that contains allegations of salespractice violations against the broker; or (2) a pending, consumer-initiated, investment-related written complaint containing allegations that thebroker engaged in, sales practice violations resulting in compensatory damages of at least $5,000, forgery, theft, or misappropriation, orconversion of funds or securities.

Disclosure 1 of 5



Allegations:


Client alleges unsuitability and over-concentration from 2011 to 2017


Alleged Damages: $1,600,000.00

Date Notice/Process Served: 07/17/2019

Arbitration Pending? Yes

Arbitration Information

Arbitration/CFTC reparationclaim filed with (FINRA, AAA,CFTC, etc.):

FINRA




Allegations:







FINRA

Docket/Case #: 19-0185516�2021 FINRA. All rights reserved. Report about KEVIN R. WILSON.








Disclosure 2 of 5

i



Allegations:


Client alleges unauthorized trading in 2014.

Product Type: Equity-OTC






FINRA




Allegations:


Client alleges unauthorized trading in 2014

Product Type: Equity-OTC




FINRA

Docket/Case #: 19-0119917�2021 FINRA. All rights reserved. Report about KEVIN R. WILSON.








Disclosure 3 of 5

i



Allegations:






Complaint Pending? Yes

Settlement Amount:






Yes


FINRA



04/23/2019








Allegations:

Laidlaw and Company (UK) Ltd






Settlement Amount:






No


FINRA



04/23/2019

Disclosure 4 of 5

i



Allegations:













Settlement Amount:





Yes


FINRA



03/28/2019



Allegations:








Yes


FINRA



03/28/2019








Settlement Amount:





03/28/2019

Disclosure 5 of 5

i



Allegations:


Client alleges unsuitability from 2010 to 2017



Alleged Damages AmountExplanation (if amount notexact):

Estimated




Yes


FINRA



09/06/2018








Settlement Amount:





Allegations:

Laidlaw and Company (UK) Ltd

Client alleges unsuitability from 2010 to 2017





Settlement Amount:





Is this a written complaint? No


Yes


FINRA



09/06/2018












End of Report

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Documents

KEVIN RICHARD WILSON · 2020. 9. 7. · KEVIN R. WILSON CRD# 3262701 Currently employed by and registered with the following Firm(s): WORDEN CAPITAL MANAGEMENT LLC 40 Wall Street,