Search for: "Morgan Laidlaw" Results 1 - 15 of 15
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21 Mar 2018, 8:15 am by Andrew Stoltmann
He is currently registered with Laidlaw & Company in New York, and has been since February 2017. [read post]
19 Jun 2019, 6:03 am by Staff Attorney
(Laidlaw) and previously with Morgan Stanley has been subject to at least 11 customer complaints and one regulatory action during the course of his career. [read post]
26 Nov 2019, 7:12 am by Silver Law Group
  Morgan Stanley   Merrill Lynch, Pierce, Fenner & Smith Inc   Shotz, Richard   Wells Fargo Clearing Services   Morgan Stanley   Vaccaro, Anthony Jr. [read post]
2 Oct 2018, 5:48 am by Silver Law Group
  Diversified Securities, Inc   Mary Olsen   Paul Prestia   Laidlaw & Company LTD   Network 1 Financial Securities Inc. [read post]
21 Aug 2018, 5:14 am by Silver Law Group
Morgan Securities LLC   Chase Investment Services Corp   Spencer Joseph Lassetter   Fidelity Brokerage Services LLC   Andrea Marie Milinkovic   PNC Investments   Suntrust Investment Services, Inc   Stephen Allen Murray   Raymond James & Associates, Inc   Morgan Keegan & Company, Inc   George James Oldoerp   H. [read post]
23 May 2019, 7:43 am by Silver Law Group
According to FINRA Disciplinary actions for May 2019, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS   Bethan, Frank   Quest Capital Strategies, Inc   Wells Fargo Clearing Services, LLC   Cody, Jill   Concorde Investment Services, LLC   Westminster Financial Securities, Inc   Cody, Richard   IFS Securities   Concorde Investment… [read post]
14 Jan 2012, 11:51 am by David Feldman
New to being noticed as regular blogees this year are Blackstone Group, Oppenheimer & Co., Royal Bank of Canada, Canaccord Capital, Laidlaw Securities, ABN-Amro, Fidelity Investments, Leerink Swann, Mitsubishi Securities (USA), Charles Schwab, Wedbush Morgan and RBS Securities. [read post]
20 Sep 2020, 9:03 pm by Lynn McDonough
Laidlaw Environmental Services (1999) As I see it, in relatively recent years, the Court’s Arbitration Act decisions have taken many wrong turns. [read post]
29 Jul 2020, 12:30 pm by Silver Law Group
Morgan Securities LLC   Great Point Capital, LLC   Stanley Martin   Allstate Financial Services, LLC   H&R Block Financial Advisors, Inc. [read post]
8 Nov 2021, 1:27 pm by Silver Law Group
  Henrique Lucena   Laidlaw & Company   Morgan Stanley   Lionel Scott   Arive Capital Markets   Cape Securities Inc. [read post]
31 Mar 2023, 11:36 am by The White Law Group
   This week, FINRA reportedly suspended a former Laidlaw and Company rep after allegations that he exercised discretionary authority in customer accounts. [read post]