Andrew “Andy” Grant Investigaton
November 2021- Melville, NY
According to publicly available records, Andrew “Andy” Justin Grant, a broker 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 1/2020, in FINRA case #2018059749401 , Grant consented to the sanctions and to the entry of findings that, while associated with a member firm, he effected trades in customers’ accounts using discretion without the customers’ prior written authorization and without the firm accepting these accounts as discretionary in writing. The sanctions ordered were a a 15 day suspension from FINRA in all capacities and a $5,000 fine levied against Grant individually.
Grant has been employed with Laidlaw & Company since 11/2012.
If you have losses in an account handled by Andrew J. Grant, call to learn how you may be able to recover damages through FINRA arbitration.
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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