Articles Tagged with Laidlaw & Company (uk) Ltd.

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The investment lawyers at Gana Weinstein LLP have experience helping investors determine whether their portfolio losses at investment firms, such as Laidlaw & Company (UK) Ltd., were caused by broker misconduct. There are many different ways that your broker can impermissibly drain your accounts. Our attorneys can help you understand the cause of your investment losses, uncover misconduct, and apply the law to hold accountable those responsible.

Laidlaw & Company (UK) is an investment bank and securities brokerage firm that provides capital raising, mergers and acquisitions, strategic advisory, wealth management, and equity research, with a particular focus on healthcare and emerging growth companies. Registered as a broker-dealer since 2002, the firm is based in New York and maintains a presence in London, serving companies, institutions, and high-net-worth individuals across the United States and Europe.

Laidlaw & Company (UK) Ltd. – By the Numbers:

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According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Paul Prestia (Prestia), previously associated with Laidlaw & Company (UK) Ltd., has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Prestia  concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $7,881.00 on December 11, 2020.

Client alleges overconcentration, unsuitability and excessive trading

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jason Russo (Russo), currently associated with Laidlaw & Company (UK) Ltd., has at least one disclosable event. These events include one customer complaint, alleging that Russo recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $350,000.00 on September 30, 2025.

After receiving and signing the necessary offering documents, the customer alleges now that the investments were illiquid and unsuitable. The customer has filed this claim solely against the firm.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Todd Cirella (Cirella), currently associated with Laidlaw & Company (UK) Ltd., has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Cirella recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $350,000.00 on September 30, 2025.

After receiving and signing the necessary offering documents, the customer alleges now that the investments were illiquid and unsuitable. The customer has filed this claim solely against the firm.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Fedorko (Fedorko), previously associated with Laidlaw & Company (UK) Ltd., has at least one disclosable event. These events include one customer complaint, alleging that Fedorko recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $500,000.00 on March 31, 2025.

High Concentration and Unsuitable Investments from 2015-2023

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Henrique Lucena (Lucena), currently associated with Laidlaw & Company (UK) Ltd., has at least one disclosable event. These events include one customer complaint, alleging that Lucena recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $1,000,000.00 on April 01, 2025.

Claimant alleges unauthorized, unsuitable and negligent investment recommendations from 2021-2024

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Henry Chang (Chang), currently associated with Laidlaw & Company (uk) Ltd., has at least one disclosable event. These events include one regulatory event, alleging that Chang recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on August 19, 2024.

Respondent Chang failed to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Michalski (Michalski), currently associated with Laidlaw & Company (uk) Ltd., has at least 3 disclosable events. These events include one customer complaint, 2 tax liens, alleging that Michalski recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $399,000.00 on September 23, 2024.

Client alleges breach of fiduciary duty from 2018 to 2023

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Murray (Murray), currently associated with Laidlaw & Company (uk) Ltd., has at least 3 disclosable events. These events include one customer complaint, 2 tax liens, alleging that Murray recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $399,000.00 on September 23, 2024.

Client alleges breach of fiduciary duty from 2018 to 2023

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