Tag Archives: Laidlaw & Company LTD

Investors Settle Arbitration Claim Against Laidlaw For Churning

April 18, 2020  |   Posted by :   |   Boilerroom Sales, Churning, Excessive Trading, Investment and Regulatory News, Securities Arbitration Claims   |   Comments Off on Investors Settle Arbitration Claim Against Laidlaw For Churning

Robert Nicholas Rotunno of New York New York a stockbroker employed by Laidlaw Company (UK) Ltd. has been referenced in a customer initiated investment related arbitration claim which was settled for $285,000.00 in damages based upon allegations that trades were effected in the Laidlaw Company customer’s account by Rotunno on an excessive basis between 2012 […]

Read More »

FINRA Investigates Laidlaw Stockbroker For Unauthorized Trading

April 08, 2020  |   Posted by :   |   Boilerroom Sales, Securities Arbitration Claims, Unauthorized Trading, Unsuitable Investment Recommendations   |   Comments Off on FINRA Investigates Laidlaw Stockbroker For Unauthorized Trading

Bryan Gabriel Mazliach of Fort Lauderdale Florida a stockbroker associated with Laidlaw Company and Westpark Capital has been referenced in an investigation initiated by Financial Industry Regulatory Authority (FINRA) on September 27, 2019 in which the regulator recommended that the stockbroker be disciplined for allegedly making unsuitable and unauthorized trades in investor accounts. Wells Notice […]

Read More »

Investors Sue Laidlaw Company For Churning

Joseph Michael Fedorko Jr. of Greenwich Connecticut a stockbroker currently registered with Laidlaw Company is the subject of a customer initiated investment related arbitration claim where the customer sought $342,000.00 in damages based upon accusations that between 2012 and 2017: (1) unauthorized common and preferred stock and over-the-counter equities trades were executed in the customer’s […]

Read More »

Investors Sue Laidlaw For Private Placement Fraud

Kevin Richard Wilson of New York New York a stockbroker formerly employed by Laidlaw & Company (UK) Ltd. is referenced in a customer initiated investment related arbitration claim where the customer sought $2,000,000.00 in damages supported by accusations that between 2010 and 2017, private placements sold to the customer were not appropriate. Financial Industry Regulatory […]

Read More »

Customer Sues Laidlaw For Churning

Robert Ruvein Yasnis of Melville New York a stockbroker formerly registered with Laidlaw Company (UK) Ltd. Is the subject of a customer initiated investment related arbitration claim which settled for $20,000.00 in damages supported by accusations that (1) Yasnis effected excessive trades in the customer’s account (2) placed the customer in equities that were inappropriate […]

Read More »

Laidlaw & Co. Named in Customer Securities Arbitration Claim

December 07, 2016  |   Posted by :   |   Investment and Regulatory News, Securities Arbitration Claims   |   0 Comments

Luis Marquez, of Melville, New York, a stockbroker currently registered with Laidlaw & Company Ltd., has been subject to a customer initiated investment related arbitration claim from October 10, 2015, in which the customer requested $340,000.00 in damages based upon allegations that Marquez effected unsuitable investment transactions in the customer’s account. Since 1998, Powers has […]

Read More »

Laidlaw & Company Named In Customer Arbitration Alleging Excessive Trading

November 30, 2016  |   Posted by :   |   Investment and Regulatory News, Securities Arbitration Claims   |   0 Comments

Bryan G. Mazliach, of Melville, New York, a stockbroker registered with Laidlaw & Company Ltd., has been subject to a customer initiated investment related arbitration claim from February 8, 2016, in which the customer requested $200,000.00 in damages based upon allegations that Mazliach charged the customer with excessive commissions, and traded excessively in the customer’s […]

Read More »

Laidlaw Sued by Customer for Sale of Unsuitable Investments

Joseph M. Fedorko Jr., of New York, New York, a stockbroker with Laidlaw & Company, Ltd. is subject to a customer dispute filed on August 8, 2016, in which he was alleged by the customer to be responsible for the customer’s investment losses on bond investments. Prior to this action, Fedorko was also subject to […]

Read More »

Dawson James Securities Named In Customer Arbitration For Misrepresentation

October 11, 2016  |   Posted by :   |   Investment and Regulatory News, Unauthorized Trading   |   0 Comments

Patrick H. Maddren, of Boca Raton, Florida, a stockbroker formerly associated with Dawson James Securities, Inc., became subject to a pending customer dispute from March 31, 2016, in which the customer has requested $1,000,000.00 in damages after alleging that Maddren made misrepresentations concerning investments to the customer, did not follow the customer’s instructions, engaged in […]

Read More »

Laidlaw And Company Fined For Overcharging Customers

Laidlaw & Company LTD., headquartered in London, England, was censured and fined $10,000.00 by Financial Industry Regulatory Authority (FINRA) after consenting to findings that the firm had charged customers with excessive commissions on equity transactions. Letter of Acceptance, Waiver and Consent, No. 2014040622201 (July 21, 2016). According to the AWC, from April 2013 through June […]

Read More »