Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on September 25, 2018 indicate that New York-based Laidlaw & Company broker/adviser Stephen Hamilton has been involved in resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from 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 is a registered broker and investment adviser with 18 US states and territories.
According to his BrokerCheck report, he has received three customer complaints and one pending customer complaint.
In July 2018 a customer alleged Stephen Hamilton, while employed at Laidlaw & Company, did not follow his instructions in connection to investments in over-the-counter and listed equities. The customer is seeking $100,000 in damages in the pending complaint.
In 1999 a customer alleged Stephen Hamilton, while employed at Ladenburg Thalmann & Company, did not execute an order. The complaint settled for $94,000. His “Broker Comment” on the disclosure reads in part: “This was not a sales practice related complaint and was reported in error.”
In 1999 a customer alleged Stephen Hamilton, while employed at Ladenburg Thalmann & Company, made misrepresentations of material facts, churned the account, breached his fiduciary duty, failed to supervise, and made unsuitable investment recommendations. The complaint settled for $890,000.
In 1997 a customer alleged he, while employed at Painewebber, made unsuitable investments, breached his fiduciary duty, and churned the account. The complaint settled for $39,000.
If you or someone you know has lost money investing with Stephen Hamilton, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup your losses. Fitapelli Kurta accepts all cases on a contingency basis: we only get paid if and when you collect money. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.