Did you suffer investment losses with Laidlaw & Company (UK) Ltd. (CRD# 8-53731) (SEC# )?
Galvin Legal, PLLC is launching an investigation on behalf of investors who may have suffered losses investing with Laidlaw & Company (UK) Ltd.. If you suffered losses investing with Laidlaw & Company (UK) Ltd., then Galvin Legal, PLLC may be able to help you recover your losses in a Financial Industry Regulatory Authority (“FINRA“) arbitration claim.
UPDATE 9/26/16: The firm has been censured, fined $10,000, and ordered to pay restitution of $27,787.07, plus interest, for charging commissions plus a “handling fee” on certain transactions in equity securities that were not fair and reasonable, according to the Letter of Acceptance, Waiver and Consent submitted by the firm to FINRA. For more information, see FINRA Case Number 2014040622201.
As of April 4, 2020, Laidlaw & Company (UK) Ltd.’s FINRA BrokerCheck Report contains the following:
5 Regulatory Event Disclosures
2 Arbitration Disclosures
Main Office Location
68 PALL MALL
LONDON, SW1Y 5ES
ENGLAND
Mailing Address
521 5TH AVENUE
12TH FL
NEW YORK, NY 10175
USA
Business Telephone Number
011-44-207-339-3390
Laidlaw & Company (UK) Ltd.’s Direct Owners and Executive Officers
LAIDLAW HOLDINGS PLC, OWNER
COOLONG, JOHN (CRD#:5924271), CCO/CFO
EITNER, MATTHEW D (CRD#:3267261), CHIEF EXECUTIVE OFFICER
MARINO, MICHAEL SEBASTIAN (CRD#:6250689), FINOP
REGAN, HUGH (CRD#:1254114), DIRECTOR – INVESTMENT BANKING
SHTAYNBERGER, ALEX (CRD#:2077298), NATIONAL BRANCH MANAGER
SILVERMAN, PETER HOWARD (CRD#:1239510), SEO/BRANCH MANAGER
TESEI, JOHN, TRUSTEE OF THE GARNET TRUST
TESEI, JOHN, TRUSTEE OF THE BUFF TRUST
FINRA requires brokerage firms to conduct due diligence on investments and to conduct a suitability analysis when recommending securities to a customer that takes into account the customer’s knowledge and experience. Brokerage firms that fail to conduct adequate due diligence or that make unsuitable recommendations can be held responsible for the customer’s losses in a FINRA arbitration claim.
If you suffered losses investing with Laidlaw & Company (UK) Ltd. and would like a free consultation with a securities attorney, then please call Galvin Legal, PLLC at 1-800-405-5117.
This information is all publicly available and is being provided to you by Galvin Legal, PLLC.
Galvin Legal, PLLC is a national securities arbitration, securities mediation, securities litigation, securities fraud, securities regulation and compliance, and investor protection law practice. For more information on Galvin Legal, PLLC and its representation of investors, please visit www.galvinlegal.com or call 1-800-405-5117.
Formerly Known As, Aliases, and Affiliates
SANDS BROTHERS INTERNATIONAL LTD., SANDS BROTHERS INTERNATIONAL LTD.
