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EDWARD REED LAUGHLIN

EDWARD REED LAUGHLIN is currently employed as a Broker and/or Investment Adviser at WESTMINSTER FINANCIAL SECURITIES, INC. located at 1001 Bricknell Bay Drive Suite 2720, Miami, FL, 33131.

EDWARD REED LAUGHLIN has worked at WESTMINSTER FINANCIAL SECURITIES, INC. since May 15, 2017

Disclosure History

EDWARD REED LAUGHLIN has 4 Disclosure Event(s).

Date: March 29, 1977
Category: Regulatory
Initiated By: NEW YORK STOCK EXCHANGE, INC.
Allegations: FAILURE TO REPORT THAT I WAS "PERMITTED TORESIGN" FROM BACHE HALSEY STUART, INC. ON THE FORM U-4 ANDVIOLATION OF EXCHANGE RULE 408(A) FOR EFFECTING A DISCRETIONARYTRADE IN THE ACCOUNT OF CAYMAN INTERNATIONAL TRUST COMPANYWITHOUT WRITTEN AUTHORIZATION FROM THE CLIENT.
Resolution: Other Sanction Details: I WAS WRITTEN A LETTER OF ADMONISHMENT BY THENEW YORK STOCK EXCHANGE, INC., DATED MARCH 29, 1977.
Broker Comment: Not Provided

Date: March 29, 1977
Category: Employment Separation After Allegations
Firm Name: BACHE HALSEY STUART, INC
Termination Type: Permitted to Resign
Allegations: N/AFAILURE TO REPORT THAT I WAS "PERMITTED TORESIGN" FROM BACHE HALSEY STUART, INC. ON THE FORM U-4 ANDVIOLATION OF EXCHANGE RULE 408(A) FOR EFFECTING A DISCRETIONARYTRADE IN THE ACCOUNT OF CAYMAN INTERNATIONAL TRUST COMPANYWITHOUT WRITTEN AUTHORIZATION FROM THE CLIENT.
Broker Comment: I WAS WRITTEN A LETTER OF ADMONISHMENT BY THENEW YORK STOCK EXCHANGE, INC., DATED MARCH 29, 1977.Not Provided

Date: September 01, 1976
Category: Employment Separation After Allegations
Firm Name: BACHE HALSEY STUART, INC.
Termination Type: Permitted to Resign
Allegations: N/AI WAS ASKED TO RESIGN FROM BACHE HALSEYSTUART, INC., DUE TO A DISCRETIOANARY TRADE IN THE ACCOUNT OFTHE CAYMAN INTERNATIONAL TRUST COMPANY.
Broker Comment: WAS "PERMITTED TO RESIGN" FROM BACHE HALSEYSTUART, INC.Not Provided

Date: December 01, 1972
Category: Customer Dispute
Allegations: CUSTOMER CLAIMED THAT THERE HAD BEENCOMMODITY TRADING IN HIS ACCOUNT IN EXCESS OF HIS INSTRUCTIONSWHICH HE STATED WERE TO DO NOTHING BUT SILVER AND STAY UNDER$15,000 TOTAL CAPITAL USED. HE ALSO CLAIMED THAT HE HAD LOSTMONEY DUE TO BAD INVESTMENTS AND WITHOUT HIS KNOWLEDGE. HECLAIMED $40,000 STOCK DAMAGES AND $18,000 COMMODITIES.
Damage Amount Requested: $58,000.00
Broker Comment: IN ARBITRATION CUSTOMER WAS AWARDED ASETTLEMENT BY DUPONT, GLORE, FORGAN. THE COMPANY DID NOT LOOKTO ME FOR RESTITUTION. I AM NOT SURE WHAT THE EXACT SETTLEMENTWAS, BUT NO PENALTY WAS IMPOSED ON ME BECAUSE OF IT.NOT PROVIDED

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