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A National Securities Arbitration & Investment Fraud Law Firm

Articles Posted in Non-traditional ETFs

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Laidlaw & Company FINRA Complaint

On May 1, 2018, FINRA Department of Enforcement entered into a settlement via Acceptance, Waiver, and Consent (AWC) with Respondent Laidlaw & Company. Without admitting or denying any wrongful acts, Laidlaw consented to a public censure by FINRA, the imposition of a $25,000 fine, as well as agreeing to give…

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