Last Updated: November 2023 (Larkspur,CA)
Lawrence Krause Investigation Summary
Here’s what you need to know about Larkspur, CA, stockbroker Lawrence Krause:
- Name: Mr. Lawrence Allen Krause
- Current Employer: KW Securities Corp.
- Previous Firms: B.B. Graham & Co. , Tessara Financial Advisors (RIA)
- Function: Stock Broker/ Financial Advisor
- Aliases: Lawrence Krause
- Primary Location: Larkspur, CA
- CRD 275153
- Can Lawrence Krause be sued in FINRA arbitration: Yes
- Sanctioned by FINRA: Yes
- Discharged by a prior employer: Yes
- Highest Settlement or Award: $125,000
Discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Lawrence Krause As Your Stockbroker?
In 3/2023 a customer of B.B. Graham & Co. was paid $125,000 to resolve allegations that Lawrence Krause purchased 2500 shares of SHOP which was more shares than the customer authorized resulting in losses. Krause agreed to settle the case directly with the customer without the knowledge of the firm in violation of firm policy.
In 6/2023 B.B. Graham discharged Lawrence Krause for knowingly violating the firm’s written supervisory procedures.
Lawrence Krause has been sanctioned by securities regulators 6 times during his career.
Allegations of Broker Misconduct Against Lawrence Krause
Customers of Lawrence Krause have alleged the following wrongdoing in connection with the handling of customer accounts:
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.
Recover Your Investment Losses Now With Rex Securities Law
If you have suffered investment losses in an account handled by Lawrence Krause, 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.
