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Tag: Laidlaw & Co.

FINRA SEC Sanctions

Laidlaw & Co Sanctioned for Churning Violations 

Laidlaw Reps and Firm agree to pay $1 Million for Allegedly Churning Client Accounts  According to the SEC on November 20, 2023, the...

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Blog, Current Investigations

Laidlaw & Co. to pay $1.5 Million for Supervisory Failures

FINRA reportedly Sanctions Laidlaw & Rep for Potential Market Manipulation Red Flags According to the Financial Industry Regulatory...

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