Ryan Seth Wiener of Fort Lauderdale Florida a stockbroker formerly employed by Laidlaw Company (UK) Ltd. is the subject of a customer initiated investment related arbitration claim which was resolved for $30,000.00 in damages founded on allegations that (1) unauthorized stock and over-the-counter equities transactions had been effected in the customer’s account and (2) the customer’s investment portfolio had been churned. Financial Industry Regulatory Authority (FINRA) Arbitration No. 16-00734 (June 8, 2016).
FINRA Public Disclosure additionally reveals that on January 6, 2016, a customer filed an investment related complaint concerning Wiener’s conduct in which the customer sought $55,000.00 in damages based upon accusations of negligent account management and misrepresentations pertaining to the customer’s equity portfolio while Wiener was registered with Laidlaw.
Prior to registering with Laidlaw, Wiener was associated with Hunter Scott Financial, LLC – a brokerage firm that was expelled by FINRA for failing to pay a fined assessed by FINRA for mischaracterizing charges assessed to customers for investing. Letter of Acceptance, Waiver and Consent No. 2012034690901 (June 14, 2013).
Wiener’s registration with Laidlaw was terminated on December 22, 2015. He was employed by Joseph Stone Capital L.L.C. between March 25, 2016 and July 22, 2016. Since June 13, 2018, Wiener has been employed by Westpark Capital, Inc.
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