Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on November 2, 2017 indicate that New York-based Laidlaw & Company broker/adviser Stephen Hamilton has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Hamilton (CRD# 2165516).
Stephen Hamilton has spent 26 years in the securities industry and has been registered with Laidlaw & Company in New York, New York since 2009. Previous registrations include Safdie Investment Services in New York, New York (2005-2009); Robert R. Meredith & Company in New York, New York (2005); Ladenburg Thalmann & Company in New York, New York (1996-2005); Ladenburg Capital Management in Bethpage, New York (2001); Oppenheimer & Company in New York, New York (1995-1996); Ladenburg Thalmann & Company (1996); Painewebber in Weehawken, New Jersey (1994-1995); Merrill Lynch in New York, New York (1993-1994); and FN Wolf & Company (1991-1993). He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on August 6, 1991, and Series 7 (General Securities Representative Examination), which he obtained on June 3, 1999. He is a registered broker and investment adviser with 17 US states and territories: Arizona, California, Colorado, Florida, Georgia, Illinois, Indiana, Maryland, Massachusetts, Nevada, New York, North Carolina, Ohio, Pennsylvania, Texas and Virginia.
According to his BrokerCheck report, he has received three customer complaints and one pending customer complaint.
In August 2017 a customer alleged Stephen Hamilton, while employed at Laidlaw & Company, misrepresented material facts and failed to execute an order. The customer is seeking $21,704.
In 1999 the National Association of Securities Dealers sanctioned him following allegations he attempted to settled a customer complaint by placing an envelope containing $1,000 into his customer’s mailbox. He was censured and issued a fine of $7,500.
In 1999 a customer alleged Stephen Hamilton, while employed at Ladenburg Thalmann & Company, recommended unsuitable investments, failed in his supervisory duties, misrepresented material facts, churned investments, breached his fiduciary duty, and violated British law. The complaint settled in 2000 for $890,000.
In 1999 a customer alleged Stephen Hamilton, while employed at Ladenburg Thalmann & Company, failed to execute an order. The complaint settled for $94,000.
In 1997 a customer alleged Stephen Hamilton, while employed at Painewebber, executed excessive and unsuitable trades. The complaint settled for $39,000.
If you have lost money investing with Stephen Hamilton, call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 without delay. You may be entitled to recoup your losses. We accept all cases on contingency: Fitapelli Kurta only gets paid if and when you collect money. Time to file your claim may be limited, so we recommend you avoid delay. Call 877-238-4175 now to speak to an attorney for free.