Donald J. Fowler, of Massapequa, New York, and Gregory T. Dean, of Seaford, New York, both of whom are stockbrokers formerly registered with J.D. Nicholas & Associates, Inc., have been charged by the Securities and Exchange Commission (SEC) in a Complaint alleging that Fowler and Dean excessively traded and fraudulently churned customer accounts, and effected […]
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Tag Archives: Donald J. Fowler
JD Nicholas Brokers Charged with Fraud
January 19, 2017 | Posted by : Guiliano Law Group | Boilerroom Sales, FINRA Securities Arbitration, Investment and Regulatory News | 0 Comments
Customers File FINRA Arbitration Claims Against Worden Capital Management
September 17, 2016 | Posted by : Guiliano Law Group | FINRA Securities Arbitration, Investment and Regulatory News | 0 Comments
Donald J. Fowler, of Garden City, New York, a stockbroker with Worden Capital Management LLC, is currently subject to two pending customer disputes. Particularly, on June 6, 2016, a customer requested $812,000.00 in damages in connection with allegations against Fowler of securities fraud in violation of Securities Exchange Act of 1934 Section 10(b) and 20(a), […]
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