Tag Archives: J.D. Nicholas & Associates Inc.

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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J.D. Nicholas Stockbroker Barred For Failure to Pay FINRA Arbitration Award

Matthew DiGregorio of Syosset New York a stockbroker formerly employed by J.D. Nicholas Associates Inc. has been suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon allegations of DiGregorio’s failure to comply with paying compensatory damages to a customer after DiGregorio was found liable by a FINRA Arbitrator […]

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Investors Sue J.D. Nicholas Associates For Churning

Nicholas George Tsikitas of Melville New York of Syosset New York a stockbroker formerly employed by J.D. Nicholas Associates Inc. is referenced in a customer initiated investment related arbitration claim in which the customer sought $425,928.00 in damages based upon allegations that in reference to the customer’s options and equities investments: (1) unauthorized transactions were […]

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Customer Suitability Claims Against JD NicholasAssociates Stockbroker

September 16, 2016  |   Posted by :   |   Churning, Investment and Regulatory News   |   0 Comments

Joseph Clemente, of Syosset, New York, a stockbroker with J.D. Nicholas & Associates, Inc., is subject to a pending customer dispute from October 24, 2014, in which a customer is requesting $57,130.00 in connection with allegations against Clemente of negligence, churning of the customer’s account, overconcentration of investments, negligence, unsuitability, and failure to supervise. Public […]

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