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 & Associates Named In FINRA Securities Arbitration
February 13, 2017 | Posted by : Guiliano Law Group | Boilerroom Sales, Investment and Regulatory News, Securities Arbitration Claims | 0 Comments