FINRA Hits Laidlaw & Co. With $1.5M Fine, Suspends CCO
By Al Barbarino ( July 16, 2021, 5:59 PM EDT) -- The Financial Industry Regulatory Authority hit London-based broker-dealer Laidlaw & Co. (UK) Ltd. with a $1.5 million fine — and suspended its chief compliance officer — for a series of alleged violations that included failures to detect "red flags of potential market manipulation" and record-keeping breaches....
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