Tag Archives: Donald J. Fowler

JD Nicholas Brokers Charged with Fraud

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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Customers File FINRA Arbitration Claims Against Worden Capital Management

September 17, 2016  |   Posted by :   |   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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