May 2026- Ft. Lauderdale, FL
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.
Luis Marquez’s FINRA records are public and can be accessed on the BrokerCheck website.
The FINRA records of Luis Marquez disclose that he settled two prior customer disputes. In FINRA Case 15-02669 a customer alleges that while Marquez was employed by Dawson James Securities he invested the account in unsuitable investments . That case was settled for $175,000. In 2018 a customer of Laidlaw was paid $25,000 to resolve allegations that Marquez traded their account excessively and made unsuitable recommendations.
What is Excessive Trading (Churning)?
Churning According to U.S. Securities and Exchange Commission (SEC)
Other Investigations Involving Churning
Luis Marquez has been registered with Laidlaw & Company since 1/2013.. He was previously registered with Dawson James Securities from 9/2006-2/2013.
If you have losses in an account handled by Luis Marquez , and believe that your account was mishandled, call to discuss your options.
Rex Securities Law Investment Fraud Attorney Investigates Dawson James Securities
Investigations of other Laidlaw & Co. brokers
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.
Firms We Have Pursued For Our Clients
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
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