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
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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