Soreide Law Group obtained the following information on FINRA’s website from the September 2016, disciplinary report:
Laidlaw & Company (UK) LTD. (CRD #119037, London, England)
was censured, fined $10,000 and required to pay $27,787.07, plus interest, in restitution to clients for allegedly charging commissions plus a “handling fee” on certain transactions (which took place from approximately April 2013 to June 2014) in equity securities that were not fair and reasonable, taking into consideration the factors set forth in NASD Interpretative Material-2440-1(b) and Supplementary Material .01(b), and that exceeded 5 percent.
FINRA’s findings stated that as a result, Laidlaw & Company (UK) LTD. charged $27,787.07 in excessive commissions on a total of 421 transactions.
(FINRA Case #2014040622201)
If you were a client of Laidlaw & Company (UK) LTD. or any other brokerage and feel you were unfairly charged commissions on your transactions, call Soreide Law Group and speak to a lawyer at no cost regarding the possibility of recovering your losses at: 888-760-6552.
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