Search for: "Laidlaw "
Results 1 - 20
of 258
Sorted by Relevance
|
Sort by Date
21 Feb 2019, 12:19 pm
” Continue reading The post Laidlaw & Company FINRA Complaint appeared first on Securities Arbitration Lawyers Blog. [read post]
28 Nov 2023, 7:44 am
Laidlaw will pay $822.884 in disgorgement and penalties. [read post]
21 Feb 2023, 9:44 am
Further, Laidlaw allegedly incorrectly reported its net capital position in March 2021. [read post]
24 May 2018, 6:43 am
(AST) securities by their Laidlaw and Company broker. [read post]
15 May 2018, 6:58 am
Recently, United Kingdom-based Laidlaw & Co. was sanctioned by the Financial Industry Regulatory Authority (FINRA). [read post]
23 May 2018, 1:03 pm
(MBVX) securities by their Laidlaw and Company broker. [read post]
18 Mar 2019, 6:47 am
(Laidlaw) recommended the investor purchase a micro cap stock underwritten by the firm in violation of the securities laws. [read post]
8 May 2018, 9:28 am
(“Laidlaw”) (BD# 119037). [read post]
15 Jul 2021, 3:45 pm
As a result, Laidlaw was fined $1.5 million. [read post]
6 Mar 2018, 12:14 pm
Previously, he was registered with Laidlaw & Company in Fort Lauderdale, Florida from 2017 to September 2017. [read post]
23 May 2018, 10:01 am
Laidlaw was also the underwriter of the offering. [read post]
17 Jun 2017, 2:48 pm
Laidlaw and Company was named as a broker dealer that employs a large percentage of registered reps with publicly disclosable incidents. [read post]
18 Apr 2023, 6:14 am
Scott’s registration with Laidlaw terminated in October 2022. [read post]
10 Jun 2019, 6:57 am
(Laidlaw). [read post]
20 Apr 2023, 6:19 am
(“Laidlaw”) financial advisor Todd Anthony Cirella in Woodbury, New York. [read post]
5 Sep 2018, 12:39 pm
Paul Joseph Prestia (CRD #4477149) is a former registered broker whose last employer was Laidlaw & Company (UK) Ltd. [read post]
17 Nov 2017, 9:41 am
Emily Laidlaw, University of Calgary, Faculty of Law, is publishing What Is a Joke? [read post]
7 Jan 2020, 8:00 am
Did You Lose Money Investing With Jeanpierre Ayala At Laidlaw & Company Or Westpark Capital? [read post]
2 Jul 2018, 2:43 pm
(Laidlaw), has been subject to two customer complaints, one regulatory action, and six tax liens or judgments. [read post]
23 Jul 2021, 6:27 am
FINRA reportedly Sanctions Laidlaw & Rep for Potential Market Manipulation Red Flags According to the Financial Industry Regulatory (FINRA), the regulator has censured and fined Laidlaw and Co. [read post]
