MATTHEW PETER LEWIS

MATTHEW PETER LEWIS is currently employed as a Broker and/or Investment Adviser at LAIDLAW & COMPANY (UK) LTD. located at 201 OLD COUNTRY ROAD, SUITE 135, MELVILLE, NY, 11747.

MATTHEW PETER LEWIS has worked at LAIDLAW & COMPANY (UK) LTD. since September 25, 2015

Disclosure History

MATTHEW PETER LEWIS has 5 Disclosure Event(s).

Date: November 29, 2016
Category: Judgment / Lien
Judgment/Lien Amount: $109,621.00
Judgment/Lien Type: Tax

Date: April 18, 2012
Category: Judgment / Lien
Judgment/Lien Amount: $13,731.00
Judgment/Lien Type: Tax
Broker Comment: I ONLY BECAME AWARE OF THIS JUDGMENT A FEW DAYS AGO. I AM WORKING TO RESOLVE THIS MATTER IMMEDIATLEY.

Date: November 28, 2011
Category: Customer Dispute
Allegations: CHURING, SUITABILITY
Damage Amount Requested: $330,000.00
Settlement Amount: $80,000.00

Date: April 02, 2009
Category: Judgment / Lien
Judgment/Lien Amount: $72,000.00
Judgment/Lien Type: Tax
Broker Comment: I HAD AN ISSUE WITH BACK TAXES. IN APRIL OF 2009 I CONSOLIDATED THE ISSUE BETWEEN MYSELF, THE IRS AND THE STATE OF NEW YORK.

Date: November 26, 2008
Category: Customer Dispute
Allegations: SHORT TERM TRADING LOSSES
Damage Amount Requested: $350,000.00
Settlement Amount: $80,000.00
Broker Comment: SETTLED BY E&O INSURANCE.

More Information

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A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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