Nathaniel Royce Clay (also known as Nate Clay), of New York, New York, a stockbroker registered with Laidlaw Company (UK) Ltd., has been permanently barred from acting as a stockbroker or in any other capacity in the securities industry by Securities and Exchange Commission (SEC). This sanction follows allegations that Clay made unsuitable invesytment recommendations,…
James Ahern of New York, New York, a stockbroker registered with Laidlaw Company (UK) Ltd., was the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim in which the customer was awarded $57,750.43 in compensatory damages because Ahern and Laidlaw Company (UK) Ltd. were held liable on the customer’s…
Kumail Abbas (also known as Ken Abbas), of Melville, New York, a stockbroker registered with Laidlaw Company (UK) Ltd., is the subject of a customer initiated investment related FINRA securities arbitration claim in which the customer requested $181,056.00 in damages based upon allegations that Abbas charged excessive commissions and engaged in excessive and unauthorized trading…
Edward Scott Short of Melville, New York, a stockbroker registered with Laidlaw Company (Uk) Ltd., has been fined $5,000.00 and suspended for seven months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Short engaged in excessive and unsuitable trading. Letter of Acceptance, Waiver, and Consent No. 2020065683302 (January 31,…
Andrew Justin Grant (also known as Andy Grant), of Melville, New York, a stockbroker registered with Laidlaw Company (UK) Ltd., has been fined $5,000.00 and suspended for one month from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Grant engaged in unauthorized trading during the time that he was associated…
Todd Anthony Cirella of Melville, New York, a stockbroker registered with Laidlaw Company Ltd., has been fined $5,000.00 and suspended for three months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Cirella made unsuitable recommendations and engaged in churning or excessive trading. Letter of Acceptance, Waiver, and Consent No….
Joseph Michael Fedorko Jr., of Greenwich, Connecticut, a stockbroker registered with Laidlaw Company Ltd., has been fined $7,500.00 by Connecticut’s Banking Commissioner because Fedorko engaged in excessive and unauthorized trading and engaged in business as an unregistered investment adviser agent. Case No. CO-22-20225-S (May 17, 2022). Fedorko has also been fined $7,500.00 and suspended for…
Jonathan Michael Ebel, of Hauppauge, New York, a stockbroker formerly registered with Laidlaw Company (UK) Ltd., is referenced in a customer initiated investment related, FINRA Securities Arbitration claim in which the customer sought $30,000.00 in damages based upon accusations of excessive and unsuitable trading in the customer’s account by Ebel during the time that he…
Joseph Michael Fedorko Jr, of Greenwich, Connecticut, a stockbroker formerly registered with Laidlaw Company (UK) Ltd., has been fined $7,500.00 and suspended for ten months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings of Fedorko’s excessive and unsuitable trading while he was employed by Laidlaw Company. Letter…
George Lance Calhoun (also known as Dick Calhoun) of New York, New York, a stockbroker formerly registered with Laidlaw Company, is referenced in a customer initiated investment related written complaint on December 4, 2019, in which the customer sought $250,000.00 in damages supported by accusations that unauthorized trades were executed in the customer’s account by…
JeanPierre Ayala (also known as JP Ayala) of Boca Raton Florida a stockbroker formerly registered with Laidlaw Company (UK) Ltd. is the subject of a customer initiated investment related FINRA securities arbitration claim where the customer sought $100,000.00 in damages founded upon accusations that Ayala sold unsuitable investments, including private placements, stocks, and over-the-counter equities…
Dennis Daniel Herrera of Miami Florida a stockbroker formerly registered with Laidlaw Company (UK) Ltd. is referenced in a customer initiated investment related FINRA securities arbitration claim in which the customer sought $139,399.00 in damages supported by accusations that Herrera breached a fiduciary duty and breached a contract during the period that he was employed…
Steven Mackie Woods of New York New York a stockbroker formerly registered with Laidlaw Company Ltd. is the subject of a customer initiated investment related FINRA securities arbitration claim where the customer requested $200,123.00 in damages founded upon accusations of excessive trading of stocks and over-the-counter equities by Woods when he was associated with Laidlaw…
Nathaniel Royce Clay (also known as Nate Clay) of New York New York a stockbroker formerly registered with Laidlaw Company UK Ltd. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by allegations that he failed to cooperate with FINRA’s request for information. Case No. 2020065912101 (June…
Joseph Augustien Lianzo of Melville New York a stockbroker formerly registered with Laidlaw Company (UK) Ltd. has been suspended for eight months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that Lianzo made excessive and unauthorized trades in customers’ accounts when he was associated with Laidlaw Company….
Kevin Richard Wilson of New York New York a stockbroker formerly registered with Laidlaw Company (UK) Ltd. is referenced in a customer initiated investment related FINRA securities arbitration claim where the customer requested $100,000.00 in damages supported by accusations that they had been sold unsuitable private placements and over-the-counter equities by Wilson during the period…
Jonathan Michael Ebel of Hauppauge New York a stockbroker formerly registered with Laidlaw Company UK Ltd. is the subject of a customer initiated investment related FINRA securities arbitration claim where the customer requested $12,721.00 in damages founded on allegations that Ebel executed excessive trades in the customer’s account at Laidlaw Company. Financial Industry Regulatory Authority…
Joseph Michael Fedorko Junior of Greenwich Connecticut a stockbroker currently employed by Laidlaw Company (UK) Ltd. is the subject of a customer initiated investment related arbitration claim in which the customer sought $1,700,000.00 in damages based upon allegations of unauthorized and unsuitable trading by Fedorko causing the customer to incur losses on equities and private…
Bryan Gabriel Mazliach of Fort Lauderdale Florida a stockbroker formerly employed by Laidlaw Company has been charged by Financial Industry Regulatory Authority (FINRA) with effecting excessive and unauthorized transactions in customer accounts and with placing customers in unsuitable investments which caused them to sustain losses. Department of Enforcement v. Bryan G. Mazliach Disciplinary Proceeding No….
Kevin Richard Wilson of New York New York a stockbroker formerly associated with Laidlaw Company (UK) Ltd. has been referenced in a customer initiated investment related arbitration claim in which the customer requested $1,600,000.00 in damages supported by allegations that the customer had been placed into unsuitable private placements from 2011 to 2017 during the…
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…
Andrew Justin Grant of Melville New York a stockbroker currently registered with Laidlaw Company (UK) Ltd. has been fined $5,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he effected trades in the accounts of Laidlaw Company customers without authorization. Letter of…
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…
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…
Bryan Gabriel Mazliach of Fort Lauderdale Florida a stockbroker formerly employed by Laidlaw Company UK Ltd. is referenced in a customer initiated investment related arbitration claim where the customer sought $66,680.00 in damages founded on allegations that between 2015 and 2017: (1) transactions were executed in the customer’s account that were not suitable for the…
Nicholas Sabellico of Fort Lauderdale Florida a stockbroker formerly registered with Laidlaw Company (UK) Ltd. is the subject of a customer initiated investment related arbitration claim in which the customer requested $25,413.00 in damages supported by accusations that between 2015 and 2017: (1) transactions executed in the customer’s account were in no way appropriate for…
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…
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…
Laidlaw Company (UK) LTD. is a brokerage firm headquartered in London England that has been censured and fined $25,000.00 by Financial Industry Regulatory Authority (FINRA) founded on allegations that it failed to supervise recommendations of inverse and leveraged exchange traded funds to make sure that those recommendations complied with FINRA and NASD Rules. Letter of…
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…
Lawrence Marc Lowe, of New York, New York, a stockbroker formerly employed with Laidlaw & Company (UK) Ltd., is the subject of a customer initiated investment related arbitration claim, which settled for $7,500.00 in damages supported by accusations that between 2015 and 2017, unsuitable stock and over-the-counter equities transactions were executed in the customer’s investment…
Stephen Carey Hamilton of New York, New York, a stockbroker currently registered with Laidlaw & Company (UK) Ltd., is the subject of a customer initiated investment related arbitration claim, in which the customer sought $21,704.00 in damages based upon allegations that Hamilton made misrepresentations to the customer and failed to execute the customer’s investment orders…
Michael James Resciniti of Melville, New York, a stockbroker formerly registered with Laidlaw & Company (UK) Ltd., has been suspended for seven months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he executed trades in customer accounts without their permission. Letter of Acceptance, Waiver and…
Matthew Ian Turner, of Fort Lauderdale, Florida, a stockbroker formerly registered with Laidlaw & Company (UK) Ltd., has been named in a customer initiated investment related arbitration claim, which settled on August 8, 2014, for $23,115.00 in damages based upon allegations that Turner effected unsuitable equity transactions in the customer’s account. Financial Industry Regulatory Authority…
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…
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…
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…
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…
Nathaniel R. Clay, of New York, New York, a stockbroker formerly with National Securities Corporation, is the subject of a pending customer dispute in which a customer seeks $513,218.40 in damages based upon the allegation that Clay committed negligence, breached his fiduciary obligations, and made misrepresentations to the customer. FINRA BrokerCheck reveals that Clay has been…
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…