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J.D. Nicholas & Associates problem

Joseph F. Valdini-Former Aegis Capital Broker-Barred From Securities Industry by Regulator & Customer Suits-Melville, NY

Joseph F. Valdini-Former Aegis Capital Broker-Barred From Securities Industry by Regulator & Customer Suits-Melville, NY 150 150 Rex Securities Law

Joseph F. Valdini Investigation March 2022-Melville, New York The FINRA records of Joseph F. Valdini ,  a former stock broker who was last employed in the industry by Aegis Capital Corp. , disclose a regulatory matter,…

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Joseph O. Clemente, Jr. -Former J.D. Nicholas Broker-Discloses Customer Complaints

Joseph O. Clemente, Jr. -Former J.D. Nicholas Broker-Discloses Customer Complaints 150 150 Rex Securities Law

July 2016-Garden City, New York The FINRA records of Joseph O. Clemente, Jr. ,  a  currently unlicensed stock broker who was last employed  by Worden Capital Management , disclose a pending customer dispute and a  prior finalized…

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Donald J. Fowler-Worden Capital Management Broker-Discloses Customer Disputes Alleging Churning & Receipt of Wells Notice

Donald J. Fowler-Worden Capital Management Broker-Discloses Customer Disputes Alleging Churning & Receipt of Wells Notice 150 150 Rex Securities Law

UPDATE APRIL 2018-Donald Fowler charged with excessive trading and other securities violations by US Securities and Exchange Commission. See this for details.  UPDATE August 2016–Fowler discloses regulatory investigation. On July 15, 2016,…

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Gregory T. Dean-Worden Capital Management Broker-Discloses Customer Complaints Alleging Churning

Gregory T. Dean-Worden Capital Management Broker-Discloses Customer Complaints Alleging Churning 150 150 Rex Securities Law

AUGUST 2019 UPDATE-Gregory Dean barred from securities industry by regulators for churning customer accounts. See this for more details.  UPDATE April 2018–Gregory Dean discloses additional customer disputes on his FINRA…

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Matthew DiGregorio-Former J.D. Nicholas Broker-Permanently Barred from Securities Industry-Melville, NY

Matthew DiGregorio-Former J.D. Nicholas Broker-Permanently Barred from Securities Industry-Melville, NY 150 150 Rex Securities Law

Melville, NY UPDATE JULY 2017-In 11/2016 Matthew DiGregorio was permanently barred from the securities industry by FINRA for failing to pay an award as ordered by a FINRA arbitration panel…

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Jason M. Santini Named in Customer Arbitration-Blackbook Capital, LLC. Broker

Jason M. Santini Named in Customer Arbitration-Blackbook Capital, LLC. Broker 150 150 Rex Securities Law

APRIL 2017 UPDATE-In November 2016 a customer of Spartan Capital filed FINRA arbitration 16-3109 alleging damages of $27,376 for overconcentration, unauthorized use of margin and negligence. ORIGINAL POST -May 2016…

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