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FINRA disciplinary action update #1

FINRA HQ

Thomas Hyrkiel

<1 min read
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Disciplinary decisions issued 17 – 23 February, 2023.

Laidlaw & Company (UK) Ltd. fined for not maintaining required minimum net capital

The firm’s net capital fell below the required minimum account on four occasions between February 2018 and July 2022. The shortfalls occurred as a result of the improper treatment of certain assets and liabilities in its net

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