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Beware of Release Agreements

A former Wells Fargo customer and current client of D’Costa Law, P.C. located in Provo, Utah is asking a court to overturn an arbitration panel ruling denying a $2.5 million damage claim against Wells Fargo.

Attention: Laidlaw & Company Investors

Financial Industry Regulatory Authority (FINRA) is currently investigating investor complaints involving Laidlaw & Company (UK) Ltd. (Laidlaw)[1] for recommending certain small cap investments underwritten or otherwise promoted by the firm.  Laidlaw has been involved in the fraudulent promotion of numerous small cap stocks to their clients in violation of their duties to their clients to disclose conflicts of interests. These violations have also revealed an even more troublesome trend that Laidlaw is involved in pump-and-dump schemes.

FINRA Arbitrator Selection Process is Under Fire

What probably would’ve been lost in the weeds of a Georgia State Court decision vacating a FINRA Arbitration Award has now caught fire and the eyes of the entire financial services and legal community. Judge Belinda E. Edwards, a State Court Judge in Fulton County Superior Court, vacated a 2019 decision in which Wells Fargo successfully defeated an investor’s $1.7 million damage claims over investment losses. The FINRA Award was vacated based in part on “grounds that the Financial Industry Regulatory Authority (“FINRA”) administrators had allowed Wells Fargo and an outside lawyer to ‘manipulate’ the arbitrator selection process.1 Specifically, “a FINRA dispute resolution director improperly granted Wells Fargo’s request to strike two arbitrators, including one from a computer-generated ‘neutral’ list, as part of an unwritten side agreement between the regulator and Wells’ lawyer.”2

Recent FINRA Broker Complaints 03/2025

Investors who have suffered losses are encouraged to contact us at 1(516) 526 3082 or daniel.dcosta@danieldcostaesq.com for consultation. At D’Costa Law, P.C. our attorneys and staff are experienced in representing investors who have suffered securities losses due to the mishandling of their accounts. Claims may be brought in securities arbitration before FINRA. Our consultations are free of charge and the firm is only compensated if you recover.

Attention: Aegis Capital Investors

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Stock Loss Recovery Claims Process

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