J.D. Nicholas & Associates

  • Robert Rex, Esq.

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 Robert Rex, Esq.

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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  • Robert Rex, Esq.

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 Robert Rex, Esq.

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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  • Robert Rex, Esq.

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 Robert Rex, Esq.

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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  • Robert Rex, Esq.

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 Robert Rex, Esq.

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 Rex, Esq.

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 Robert Rex, Esq.

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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  • Robert Rex, Esq.

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 Robert Rex, Esq.

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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