The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Joseph Valdini. According to his publicly available FINRA BrokerCheck report, Joseph Valdini has been the subject of multiple customer disputes.

Joseph Valdini was a New York-based securities broker. He worked in the securities industry for eight years. During his career, he was registered with three different securities firms. He is no longer working as a registered securities broker in any fashion.

His Registrations

  • J.D. Nicholas & Associates (2008-2014)
  • Worden Capital Management (2014-2016)
  • Aegis Capital Corp. (2016-2017)

The Allegations

  • In January 2016, a customer alleged that Joseph Valdini engaged in unauthorized trading. This case was settled for $28,125 in damages. Valdini resigned from his position at Worden Capital Management amidst the allegations.
  • Also in January 2016, a customer alleged that Joseph Valdini handled their account negligently, violated the New Jersey Uniform Securities Law, breached his fiduciary duty, and breached contract. This case was settled for $79,000 in damages.

Joseph Valdini was eventually barred by FINRA from acting as a securities broker in any fashion.

Oakes & Fosher Can Help

Many investors are unaware of the legal recourse available to them after losing money due to securities broker fraud and/or negligence. The truth is that investors who have lost money in this fashion may actually be entitled to damages.

Oakes & Fosher dedicates its entire legal practice to helping investors across the nation. If you, or someone you know, have lost money investing with Joseph Valdini, please contact Oakes & Fosher for a free and private consultation. We work on a contingency basis, which means there are no fees charged unless we collect for you.