October 2020- Red Bank, NJ
According to publicly available records Andrew “Andy” Grant (CRD#2709882), a stockbroker employed with Laidlaw & Company, discloses a regulatory event.
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.
In January of 2020 in case #2018059 FINRA alleges that Grant effected trades in customers’ accounts using discretion without the customers’ prior written authorization and without the firm accepting these accounts as discretionary in writing. Sanctions were a 15 day suspension from FINRA for all capacities and a $5,000 fine.
Grant has been employed with Laidlaw & Co. since November of 2012. Before that he was employed by Obsidian Financial Group.
If you had an account with Andrew “Andy” Grant that suffered losses, you may be entitled to collect damages from his prior employer. Call to discuss your options.
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.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
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