JOSHUA NICHOLAS Barred by FINRA for Allegations of Conversion

Israels & Neuman, PLC

STUART, FLORIDA

JDN Capital is an LLC owned by Joshua D. Nicholas. JDN Capital was an entity registered with the National Futures Association (NFA), which purportedly engaged in futures trading. In 2021, the NFA reached a settlement with JDN Capital which barred JDN Capital from the futures industry regarding allegations that Nicholas converted or misappropriated $58,000 from customers.

Joshua Nicholas was also a registered representative of Merrill Lynch at an office in Stuart, Florida from February 2020 to July 2020. Nicholas was also the subject of an investigation by FINRA (the Financial Industry Regulatory Authority). FINRA barred Nicholas from the securities brokerage industry regarding these conversion allegations.

Merrill Lynch must reasonably supervise the activities of their registered representatives. Merrill Lynch must also reasonably supervise the disclosed outside business activities of its representatives pursuant to FINRA Rules. Merrill Lynch can be liable for investor losses if its supervision is inadequate.

Attorney David Neuman has been licensed to practice law in Florida since 2010. He has represented numerous investors throughout the country, including in Florida.

Click to view: Nicholas, Joshua FINRA AWC

Click to view: Nicholas, Joshua BrokerCheck 1.25.22

If you lost money with Joshua Nicholas, Merrill Lynch, or JDN Capital, contact the law firm of ISRAELS & NEUMAN at (720) 599-3505 or (206) 795-5798 for a Free evaluation of your case.

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