Tag Archives: Laidlaw & Company (UK) Ltd.

Laidlaw Company Bring FINRA Arbitration Claim Against By Investors For Churning

December 01, 2020  |   Posted by :   |   Boilerroom Sales, Churning, Excessive Trading, Securities Arbitration Claims   |   Comments Off on Laidlaw Company Bring FINRA Arbitration Claim Against By Investors For Churning

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 […]

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Laidlaw Stockbroker Charged With Churning Customer Accounts

September 14, 2020  |   Posted by :   |   Securities Arbitration Claims   |   Comments Off on Laidlaw Stockbroker Charged With Churning Customer Accounts

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. […]

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FINRA Sanctions Laidlaw Stockbroker For Unauthorized Trading

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 […]

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Investors Sue Laidlaw For Stockbroker Misconduct

August 28, 2019  |   Posted by :   |   Failure to Execute, Investment and Regulatory News   |   0 Comments

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 […]

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Laidlaw Company UK Ltd. Sued By Investors For Churning

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 […]

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Investors Sue Laidlaw Company For Churning

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 […]

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Investors Sue Laidlaw Company For Churning

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 […]

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FINRA Censures Laidlaw For Failure To Supervise ETFs

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 […]

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Customer Sues Laidlaw For Stock Trading Suitability

January 26, 2018  |   Posted by :   |   Boilerroom Sales, Investment and Regulatory News   |   0 Comments

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 […]

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Laidlaw Sued By Customer For Misrepresentation

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 […]

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Laidlaw Broker Suspended For Unauthorized Trading

November 28, 2017  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

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 […]

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Laidlaw & Company Named In FINRA Securities Arbitration

February 13, 2017  |   Posted by :   |   Boilerroom Sales, Churning, Investment and Regulatory News   |   0 Comments

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 […]

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