Last Updated: June 2025 | Coral Gables, FL
Here’s what you need to know about Coral Gables, FL, stockbroker Henrique D. Lucena:
- Name: Mr. Henrique David Lucena
- Current Employer: Laidlaw & Company (UK) Ltd.; Laidlaw Wealth Management LLC
- CRD Number: 5605196
- Primary Office Location: 2 Alhambra Plaza, Suite 620, Coral Gables, FL 33134
- Function: Stockbroker / Registered Investment Advisor
- Prior Employers: Morgan Stanley (FL and NY), UBS Financial Services, Itau Europa Securities Inc.
- Bankruptcies Disclosed: Yes
- Can Mr. Lucena be sued in FINRA arbitration? Yes
- Sanctioned by FINRA? Yes
- Discloses Bankruptcy Filing: Yes
- Highest Settlement or Award: $350,000
- Pending Customer Dispute Seeks Damages of $1,000,000
If you’ve sustained damages from Mr. Lucena, discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Henrique D. Lucena As Your Stockbroker?
In a currently pending case, a customer of Laidlaw & Company (UK) Ltd. alleges that Henrique Lucena made unauthorized, unsuitable, and negligent investment recommendations between 2021 and 2024. The client is seeking damages of $1,000,000. The case which involves trading in equities and options is pending with FINRA.
In a previous customer dispute, UBS Financial Services Inc. paid $350,000 in a November 2020 FINRA arbitration (Case No. 20-03777) to settle allegations that Lucena made misrepresentation and traded without authority between 2010 and 2014. Mr. Lucena
Other Cases Involving Unauthorized Trading
In August 2021, FINRA issued a one week suspension and monetary penalty after Mr. Lucena failed to comply with a FINRA arbitration award in the matter of Morgan Stanley Smith Barney LLC vs. Henrique Lucena(Case No. 20-02956). The suspension was imposed under FINRA Rule 9554, which addresses failure to comply with arbitration awards.
Mr. Lucena discloses that he filed for Chapter 7 bankruptcy in July 2021 and was discharged in October 2021, in part due to his inability to pay an arbitration award in favor of his prior employer Morgan Stanley.
Allegations of Broker Misconduct Against Henrique D. Lucena
Customers of Mr. Lucena and regulatory bodies have alleged the following misconduct:
- Unauthorized Trading
- Misrepresentation
- Unsuitable and Negligent Recommendations
These allegations may indicate violations of FINRA Rule 2111 (Suitability) and FINRA Rule 2010 (Standards of Commercial Honor and Principles of Trade), particularly in the areas of unauthorized trading and failing to act in the best interest of the client.
Recover Your Investment Losses Now With Rex Securities Law
Investigations of other Laidlaw & Co. brokers
If you have suffered investment losses in an account handled by Henrique D. Lucena, contact us for a complimentary consultation with an experienced securities lawyer to learn how you may be able to recover damages through FINRA arbitration.
With offices in Boca Raton, FL, and Austin, TX, stockbroker fraud attorney Bob Rex provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers, financial advisors, and broker-dealers.
If you have questions about how your account has been handled, call (877) 224-3199 to speak with an experienced securities attorney at no cost to you.
Most cases are handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.