{"id":10613,"date":"2022-04-27T11:37:55","date_gmt":"2022-04-27T15:37:55","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=10613"},"modified":"2022-04-27T11:37:55","modified_gmt":"2022-04-27T15:37:55","slug":"joshua-nicholas-banned-by-finra-and-national-futures-association","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/joshua-nicholas-banned-by-finra-and-national-futures-association\/","title":{"rendered":"Joshua Nicholas Banned By FINRA And National Futures Association"},"content":{"rendered":"<p><img loading=\"lazy\" decoding=\"async\" class=\"alignleft wp-image-10372 size-full\" src=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2022\/01\/FiverRecoverysmall.jpg\" alt=\"Joshua Nicholas (Joshua David Nicholas CRD# 6529944) is a former registered broker and investment adviser whose last known employer was Merrill Lynch, Pierce, Fenner &amp; Smith Incorporated (CRD#:7691) of Stuart, FL. Nichols previously worked for Midtown Partners of Chicago, IL, which was expelled by FINRA on 3\/13\/2020. He has been in the industry since. 2016.  Merrill Lynch terminated Nicholas\u2019 is employment on 7\/29\/20 after his voluntary resignation. It was alleged that Nicholas forged a client document. The firm filed an amended Form U5 on August 14, 2020, which included information about his outside business activities (OBA), along with the arbitration with two customers that included selling away, unsuitable investment recommendations and omission of material facts.  Less than two weeks later, on 8\/10\/2020, a customer dispute was filed by trustees, who listed the above allegations in February of 2020. This dispute was settled for $275,000.\" width=\"300\" height=\"200\" srcset=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2022\/01\/FiverRecoverysmall.jpg 300w, https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2022\/01\/FiverRecoverysmall-180x120.jpg 180w\" sizes=\"auto, (max-width: 300px) 100vw, 300px\" \/>Joshua Nicholas (Joshua David Nicholas CRD# <a href=\"https:\/\/brokercheck.finra.org\/individual\/summary\/6529944\" target=\"_blank\">6529944<\/a>) is a former registered broker and investment adviser whose last known employer was Merrill Lynch, Pierce, Fenner &amp; Smith Incorporated (CRD#:7691) of Stuart, FL. Nichols previously worked for Midtown Partners of Chicago, IL, which was expelled by FINRA on 3\/13\/2020. He has been in the industry since. 2016. <a href=\"https:\/\/www.silverlaw.com\/blog\/joshua-nicholas-banned-by-finra-and-national-futures-association\/#more-10613\" class=\"more-link\">Continue reading \u203a<\/a><\/p>\n","protected":false},"excerpt":{"rendered":"<p>Joshua Nicholas (Joshua David Nicholas CRD# 6529944) is a former registered broker and investment adviser whose last known employer was Merrill Lynch, Pierce, Fenner &amp; Smith Incorporated (CRD#:7691) of Stuart, FL. Nichols previously worked for Midtown Partners of Chicago, IL, which was expelled by FINRA on 3\/13\/2020. He has been in the industry since. 2016. [&hellip;]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[580],"tags":[],"class_list":["post-10613","post","type-post","status-publish","format-standard","hentry","category-stockbroker-misconduct"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v25.7 - https:\/\/yoast.com\/wordpress\/plugins\/seo\/ -->\n<title>Joshua Nicholas Banned By FINRA And National Futures Association &#8212;<\/title>\n<meta name=\"description\" content=\"Joshua Nicholas is a former registered broker and investment adviser whose last known employer was Merrill Lynch of Stuart, FL.\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.silverlaw.com\/blog\/joshua-nicholas-banned-by-finra-and-national-futures-association\/\" \/>\n<meta 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