February 2019-Stamford , CT
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
According to FINRA records, Joseph M. Fedorko, Jr. , has been registered with Laidlaw & Company since 6/2009.
FINRA records disclose that Joseph M. Fedorko, Jr. has been the subject of 17 customer customer disputes, 16 of which have been finalized and one of which is pending. The cases that have been resolved include:
- FINRA Case 14-0801- a client alleged unsuitable investments. That case was settled for $120,000.
- FINRA Case 12-3931- a customer alleged negligence, breach of fiduciary duty and breach of contract. That case was settled for $120,000.
- FINRA Case 11-01077- a customer alleged excessive and unsuitable trading. That case was settled for $490,000.
FINRA Case 18-1736 is currently pending. A customer of Laidlaw and Co. alleges account churning , unauthorized trading and unsuitable recommendations from 2012-2017, and is seeking damages of $342,000.
If you have losses in an account handled by Joseph M. Fedorko, Jr. contact us for a no charge consultation to learn how you may be able to recover damages through FINRA arbitration.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
Florida-561 391 1900