Laidlaw & Company

The law offices of Gana LLP represents investors that have disputes with their financial advisors or brokerage firms, such as Laidlaw & Company (Laidlaw). There are many different types of securities related misconduct including breach of fiduciary duty, failure to supervise, false representations, and churning. Many investors do not realize when their financial advisor engages in securities misconduct, but there are steps that can be taken to recover losses. The attorneys at Gana LLP can analyze your investments to determine if there was actionable misconduct by the broker or brokerage firm.

Laidlaw & Company is an investment banking service that provides banking and wealth management services that includes capital raising and advisory services. The firm is affiliated with, or under common control with Laidlaw & Company International Limited and Laidlaw Asset Management, LLC. The companies are all owned by Laidlaw Holdings PLC.

Laidlaw & Company - By the Numbers:

  • CRD #: 119037
  • SEC #: 53731
  • Regulatory Events: 4
  • Customer Complaints: 1
  • Employees: 130

Laidlaw & Company - In the News:

FINRA v. Laidlaw & Company (Case #2014040622201) - Laidlaw firm was fined $10,000 by FINRA due to the findings that showed that the firm allegedly charged its clients excessive commissions and "handling fees" on certain transactions in equity securities, which was not fair for the client.

FINRA v. Laidlaw & Company (Case #2009016306101) - Laidlaw was fined $65,000 by FINRA for its failure to follow and enforce certain rules. Allegedly, the firm failed to establish a set of procedures and policies in order to accurately identify and report any suspicious activity. Also, the representatives at Laidlaw also allegedly failed to complete the Anti-Money Laundering Compliance training programs, which is mandatory. Laidlaw allegedly lacked any written procedural system to review business related emails sent by their representatives.

FINRA v. Laidlaw & Company (Case #2007007315501) - Laidlaw was fined $65,000 by FINRA for its alleged failure to produce a proper supervisory system review of non-firm emails. In addition, the firm failed to enforce its written supervisory procedures concerning the dissemination of a privacy policy.