J.D. Nicholas & Associates problem

  • 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.

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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  • Robert Rex, Esq.

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 Robert Rex, Esq.

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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  • Robert Rex, Esq.

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

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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