Investment loss recovery counsel at Soreide Law Group provide you with new information on securities broker Michael Anthony Valdini (CRD#: 5599281, Mineola, New York), who discloses information about investor complaints on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Valdini worked for securities firm JD Nicholas & Associates from 2008 to 2014 and Worden Capital Management from 2014 to 2020. Take a look at the following summary concerning the allegations against this securities broker and how an investment loss recovery lawyer can help you recover damages from a securities broker or financial advisor that committed improper sales practices against you.
Evidently, a client of Worden Capital Management contested Michael Valdini’s sales practices. Evidently, they filed an investment dispute in August 2021. Supposedly, the client sustained damages because of Valdini’s unsuitable trading of over-the-counter equities and stocks between 2015 and 2019. Mainly, the client makes allegations of qualitative unsuitability, quantitative unsuitability, negligent misrepresentations, breach of fiduciary contract, violation of FINRA rules, omissions, and violation of federal securities law. Therefore, the client demands that the securities firm pay them $1,277,631 in damages. It appears that this matter is currently unresolved.
It appears that a J.D. Nicholas & Associates Inc. client took issue with Michael Valdini’s actions as a securities broker, according to a dispute dated December 2016. Mainly, the client alleges that Valdini’s unauthorized trading and excessive trading led to damages in connection with the client’s investments in over-the-counter equities and stocks. Also, the client alleges failure to supervise. Evidently, J.D. Nicholas & Associates Inc. agreed to settle with the client, without admitting liability, by paying $5,000 in damages per a settlement in January 2021.
Specifically, a client of Worden Capital Management expressed concerns about Michael Valdini’s sales practices, according to a dispute listed on BrokerCheck dated September 2016. The client’s causes of action include unsuitable trading, unauthorized trading, overconcentration, and failure to supervise. Supposedly, Valdini caused the client to incur damages relating to the client’s investments in stocks. Notably, the client demands $420,847 in damages to resolve this ongoing investment dispute with the securities firm.
Specifically, a J.D. Nicholas & Associates Inc. client expressed concerns about Michael Valdini’s sales practices. BrokerCheck shows that the client lodged an investment dispute in April 2015. The client alleges overconcentration, negligent supervision, markup abuse, commission abuse, excessive trading, and breach of fiduciary duty. The client contends that Valdini’s actions produced damages in relation to the client’s investments in OTC equities and futures. Notably, the client agreed to settle their allegations with J.D. Nicholas & Associates Inc. for $25,000 in damages in February 2017.
Evidently, in October 2014, a J.D. Nicholas & Associates Inc. client decided to lodge a dispute about Michael Valdini’s and the securities firm’s sales practices. The investor’s causes of action against the securities firm include negligence, failure to supervise, unsuitability, and unauthorized trading. Supposedly, the client sustained damages because of Valdini. Consequently, to resolve the client’s allegations of sales practice violations, J.D. Nicholas & Associates Inc. settled with the client by making a payment to them in the amount of $350,000 in May 2016.
Did Michael Valdini cause you to experience losses? If so, touch base with Soreide Law Group at (888) 760-6552 and chat with a securities lawyer about a possible recovery of your losses. Soreide Law Group handles investor dispute cases on a contingency fee arrangement. Also, we advance all costs. The firm has recovered compensation for many investors in the US who incurred losses because of their financial advisors and securities brokers. Please note that Valdini denies the allegations of sales practice violations.
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