Stephen Carey Hamilton of New York New York a stockbroker currently employed by Laidlaw Company (UK) Ltd. is referenced in a customer initiated investment related arbitration claim where the customer sought $100,000.00 in damages founded on accusations that the customer’s instructions had been disregarded by Hamilton as it related to common or preferred stock and over-the-counter equities transactions in the customer’s account while Hamilton was employed by Laidlaw Company. Financial Industry Regulatory Authority (FINRA) Arbitration No. 18-02554 (July 24, 2018).
FINRA Public Disclosure confirms that Hamilton has been identified in five additional customer initiated investment related disputes which pertain to allegations of his misconduct during the time that he was associated with securities broker dealers including Ladenburg Thalmann Co. Inc. and PaineWebber Incorporated. Particularly, a customer initiated investment related complaint involving Hamilton’s activities was settled for $94,000.00 in damages based upon accusations that when Hamilton was associated with Ladenburg Thalmann, he failed to execute the customer’s options order.
Another customer filed an investment related complaint concerning Hamilton’s activities in which the customer requested $59,000.00 in damages founded on allegations that unauthorized over-the-counter equities transactions were effected in the customer’s account. Hamilton is also the subject of a customer initiated investment related complaint where the customer alleged that margin had been inappropriately utilized to effect transactions; and misrepresentations were made to the customer concerning the terms, conditions or risks of over-the-counter equities.
Hamilton has been employed by Laidlaw Company since December 23, 2009.