Tag Archives: J.D. Nicholas & Associates

JD Nicholas Associates Sued For Breach Of Fiduciary Duty

May 17, 2018  |   Posted by :   |   Boilerroom Sales, Churning, Investment and Regulatory News   |   0 Comments

Andrew Owen Brown, of Syosset New York a stockbroker formerly registered with J.D. Nicholas Associates Inc. is referenced in a customer initiated investment related arbitration claim in which the customer requested $50,000.00 in damages based upon accusations that (1) the customer’s account was churned (2) fiduciary duties owed to the customer had been breached (3) […]

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JD Nicholas & Associates Named In FINRA Securities Arbitration

Keith Lawton James Connolly, of Syosset, New York, a stockbroker currently registered with J.D. Nicholas & Associates, Inc., has been named in a customer initiated investment related arbitration claim, which settled on July 20, 2016, for $43,976.90 in damages based upon allegations that Connolly effected unsuitable equity transactions in the customer’s account, overconcentrated the customer’s […]

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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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