Tag Archives: Donald Joseph Fowler

Worden Capital Stockbroker Fines $1.9 Million and Barred For Churning

September 03, 2021  |   Posted by :   |   Churning, Excessive Trading, Investment and Regulatory News   |   Comments Off on Worden Capital Stockbroker Fines $1.9 Million and Barred For Churning

Donald Joseph Fowler of Rockville Center New York a stockbroker formerly registered with Worden Capital Management LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that Fowler churned and excessively traded the accounts of four of his customers. Letter of Acceptance Waiver and Consent […]

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SEC To Bar Worden Stockbroker For Securities Fraud

August 27, 2020  |   Posted by :   |   Boilerroom Sales, Securities Fraud, Unsuitable Investment Recommendations   |   Comments Off on SEC To Bar Worden Stockbroker For Securities Fraud

Donald Joseph Fowler of Rockville Center New York a stockbroker formerly registered with Worden Capital Management is referenced in an Order Instituting Administrative Proceedings by Securities and Exchange Commission (SEC) in which the regulator is determining whether to permanently bar Fowler from being a stockbroker or investment advisor representative given findings of Fowler violating federal […]

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J.D. Nicholas Stockbroker Liable For Securities Fraud

November 24, 2019  |   Posted by :   |   Investment and Regulatory News, Securities Fraud   |   0 Comments

Donald Joseph Fowler of Rockville Center New York a stockbroker formerly employed by Worden Capital Management LLC and J.D. Nicholas Associates Inc. was found liable by a jury for engaging in a fraudulent investment scheme which involved Fowler’s excessive trading of customer accounts causing catastrophic losses for his customers. Securities and Exchange Commission v. Donald […]

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Rogue J.D. Nicholas Stockbroker Liable For Securities Fraud

November 24, 2019  |   Posted by :   |   Boilerroom Sales, Churning, Excessive Trading, Investment and Regulatory News, Securities Fraud   |   Comments Off on Rogue J.D. Nicholas Stockbroker Liable For Securities Fraud

Donald Joseph Fowler of Rockville Center New York a stockbroker formerly employed by Worden Capital Management LLC and J.D. Nicholas Associates Inc. was found liable by a jury for engaging in a fraudulent investment scheme which involved Fowler’s excessive trading of customer accounts causing catastrophic losses for his customers. Securities and Exchange Commission v. Donald […]

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