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J.D. Nicholas & Associates

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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Douglas Lee-Former Worden Capital Broker- Discloses Customer Disputes-Garden City, NY

Douglas Lee-Former Worden Capital Broker- Discloses Customer Disputes-Garden City, NY 150 150 Rex Securities Law

January 2020 – Garden City, NY The FINRA records of Douglas Lee , a stockbroker who was last employed by  Worden Capital Management , disclose a pending customer dispute and  3 prior customer disputes. The…

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Wesley S. Wallace- Former Worden Capital Broker- Discloses 2 Prior Customer Disputes- Garden City, NY

Wesley S. Wallace- Former Worden Capital Broker- Discloses 2 Prior Customer Disputes- Garden City, NY 150 150 Rex Securities Law

January 2020 -Garden City, NY The FINRA records of Wesley S. Wallace  , a stockbroker who was last employed by  Worden Capital Management , disclose 2  prior customer disputes. The Financial Industry Regulatory Authority (FINRA) is…

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Douglas Lee-Former Worden Capital Management Broker-Discloses Customer Disputes-Garden City, NY

Douglas Lee-Former Worden Capital Management Broker-Discloses Customer Disputes-Garden City, NY 150 150 Rex Securities Law

November 2019 – Garden City, NY The FINRA records of Douglas Lee , a stockbroker who was last employed by  Worden Capital Management , disclose a pending customer dispute and  3 prior customer disputes. The…

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Robert P. Solow- Former Trident Partners Broker-Discloses Pending Customer Suit- Melville, NY

Robert P. Solow- Former Trident Partners Broker-Discloses Pending Customer Suit- Melville, NY 150 150 Rex Securities Law

September 2019, Melville, NY According to publicly available records Robert Paul Solow   (CRD# 4532161) ,  a  stockbroker who is not not registered and who last worked for Joseph Gunnar & Co.…

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Worden Capital Brokers Gregory Dean and Donald Fowler Named in SEC Complaint

Worden Capital Brokers Gregory Dean and Donald Fowler Named in SEC Complaint 150 150 Rex Securities Law

August 2019 Update-Gregory Dean was barred from the securities industry for churning customer accounts. See this for more details.  MAY 2018 UPDATE–See this for update on pending customer disputes.  ORIGINAL…

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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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