May 2019 – New York According to publicly available records, Laidlaw & Company financial advisor Peter D. Viglione discloses 2 pending and 3 prior customer disputes. The Financial Industry Regulatory…
read moreJuly 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…
read moreUpdated 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…
read moreUPDATE 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…
read moreFebruary 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…
read moreMay 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…
read moreMay 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…
read more