laidlaw & company investigation

  • Robert Rex, Esq.

Marc A. Reda-Former PHX Financial Broker-Fined & Suspended-NY
Marc A. Reda-Former PHX Financial Broker-Fined & Suspended-NY 150 150 Robert Rex, Esq.

July 2021  UPDATE -FINRA has filed a complaint alleging that Reda churned accounts and traded customer without authority.  Follow this for update. ORIGINAL POST--May 2016- Garden City, NY The Financial Industry Regulatory…

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  • Robert Rex, Esq.

Nathaniel R. Clay-Former National Securities Corp Broker-Named in Customer Arbitration
Nathaniel R. Clay-Former National Securities Corp Broker-Named in Customer Arbitration 150 150 Robert Rex, Esq.

Updated January 2019-New York According to FINRA records,  Nathaniel Royce Clay , a broker with Laidlaw & Company, discloses a pending customer dispute, 5 prior customer disputes, a termination from employment and…

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  • Robert Rex, Esq.

Patrick H. Maddren-Former Dawson James Broker-Discloses Settlment of $1M Customer Dispute
Patrick H. Maddren-Former Dawson James Broker-Discloses Settlment of $1M Customer Dispute 150 150 Robert Rex, Esq.

UPDATE FEBRUARY 2017-FINRA records disclose that arbitration 16-00849, discussed below, was settled for a payment $295,000 by Dawson James Securities. ORIGINAL POST-May 2016-Ft. Lauderdale, FL The Financial Industry Regulatory Authority…

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  • Robert Rex, Esq.

Joseph M. Fedorko-Laidlaw & Co. Broker-Named in Customer Disputes
Joseph M. Fedorko-Laidlaw & Co. Broker-Named in Customer Disputes 150 150 Robert Rex, Esq.

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…

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  • Robert Rex, Esq.

Bryan Mazliach-Former Laidlaw & Company Broker-Discloses Customer Arbitrations
Bryan Mazliach-Former Laidlaw & Company Broker-Discloses Customer Arbitrations 150 150 Robert Rex, Esq.

May 2019 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…

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  • Robert Rex, Esq.

Luis Marquez-Former Dawson James Broker-Named In Customer Arbitration-Ft. Lauderdale
Luis Marquez-Former Dawson James Broker-Named In Customer Arbitration-Ft. Lauderdale 150 150 Robert Rex, Esq.

May 2016- 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…

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