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Attention: Laidlaw & Company Investors
Financial Industry Regulatory Authority (FINRA) is currently investigating investor complaints involving Laidlaw & Company (UK) Ltd. (Laidlaw)[1] for recommending certain small cap investments underwritten or otherwise promoted by the firm. Laidlaw has been involved in the fraudulent promotion of numerous small cap stocks to their clients in violation of their duties to their clients to disclose conflicts of interests. These violations have also revealed an even more troublesome trend that Laidlaw is involved in pump-and-dump schemes.
Laidlaw has 13 total disclosures on its CRD including 9 Regulatory Events and 4 customer disputes. The disclosures involve: unsuitable trading, failure to supervise, negligence, churning, fraud, breach of fiduciary duty, breach of contract, unauthorized trading, and misrepresentation.
Investors who have suffered losses are encouraged to contact us at 1(516) 526 3082 or daniel.dcosta@danieldcostaesq.com for consultation. At D’Costa Law, P.C. our attorneys and staff are experienced in representing investors who have suffered securities losses due to the mishandling of their accounts. Claims may be brought in securities arbitration before FINRA. Our consultations are free of charge and the firm is only compensated if you recover.
[1] https://brokercheck.finra.org/firm/summary/119037
