Soreide Law Group is currently investigating potential claims on behalf of investors who may have suffered losses due to the actions of securities broker James Ahern (CRD#: 4656189, New York, NY). Ahern joined Laidlaw & Company (UK) Ltd. on October 27, 2010. Evidently, investors at both Laidlaw & Company (UK) Ltd. and his prior employer brought disputes. Investors collectively allege misrepresentation, negligence, and breach of contract.
Namely, a Laidlaw & Company (UK) Ltd. client filed FINRA Arbitration: 20-00030 against James Ahern. The client specifically accused Ahern of a range of improper actions, including negligence and misrepresentation. Additionally, the client alleged excessive commissions. The client purportedly incurred damages involving various securities. As a result, on March 31, 2023, a FINRA Arbitration Panel issued an award, holding that James Ahern is jointly liable for compensatory damages totaling $57,375.43.
Namely, a client associated with National Financial Services, LLC, and Casimir Capital, L.P., contested James Ahern's conduct by filing FINRA Arbitration: 05-02643. The client notably alleged that Ahern was involved in breach of contract, and breach of fiduciary duty. Consequently, the client suffered losses. Therefore, a FINRA Arbitration Award was issued on December 7, 2007, directing that Ahern and other respondents pay the clients the sum of $73,662, plus interest, in compensatory damages.
Did you experience losses because of James Ahern? If so, reach out to Soreide Law Group online or at (888) 760-6552 and talk with a securities attorney concerning a potential recovery. Soreide Law Group has recovered money for investors throughout the United States, works on a contingency fee basis, and advances all costs. Ahern and brokerage firms he worked for deny accusations of sales practice violations.
Steven Graham (CRD 1977736) denies the allegations in a pending customer claim filed on August 11, 2026. The disclosure names Western International Securities as the firm, and the claim involves corporate bonds. No arbitrator has ruled on it. His BrokerCheck report also lists a settled bond dispute and a federal court matter from earlier years.
A claim filed on September 11, 2024 names Thomas Hamlin (CRD 2208505) over a 10% Senior Unsecured Note in iCap Fund III. Every disclosure on his BrokerCheck report involves an iCap private placement and names Somerset Securities as the firm. Each one settled, and a settlement is not an admission of wrongdoing.
Peter Po's most recent settlement came on June 28, 2026, when a corporate bond claim settled for $40,000. Po (CRD 3106974) appears in several settled customer disputes over corporate and high-yield bonds. The disclosures name NI Advisors or California Securities as the firm, and each matter ended in a settlement, not a finding.
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