Joshua David Nicholas (also known as Josh Nicholas), of Stuart, Florida, a stockbroker registered with Merrill Lynch Pierce Fenner Smith Inc., has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Nicholas converted a customer’s funds and engaged in private securities transactions. Case No. 2020067572701 (Jan. 24, 2022)….
Joshua David Nicholas, of Stuart, Florida, a stockbroker formerly registered with Merrill Lynch Pierce Fenner Smith Incorporated, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that Nicholas converted a customer’s funds when he was associated with Merrill Lynch. Letter of Acceptance, Waiver, and Consent…