Stephen Hamilton is a New York-based securities broker. He has worked in the securities industry for twenty-seven years. During his career, he has been registered with ten different securities firms.
His registrations include; F.N. Wolf & Co. (1991-1993), Merrill Lynch (1993-1994), Painewebber Incorporated (1994-1995), Ladenburg, Thalman & Co. (1996, 1996-2005), Oppenheimer & Co. (1995-1996), Ladenburg Capital Management (2001), Robert R. Merideth & Co. (2005), Safdie Investment Services Corp. (2005-2009), and Laidlaw & Company (2009-Present).
Stephen Hamilton’s publicly available FINRA BrokerCheck report shows that he received multiple customer complaints over the course of his career.
In May 1997, a customer alleged unsuitable trading, churning, and breach of fiduciary duty. This case was settled for $39,000 in damages.
In March 1999, a customer alleged unsuitability, churning, misrepresentation, breach of fiduciary duty, and violation of British law. This case was settled for $890,000 in damages.
In July 1999, a customer alleged failure to execute orders. This case was settled for $94,000 in damages
In November 2000, a customer alleged unauthorized transactions.
In December 2003, a customer misrepresentation and unauthorized use of margin.
In July 2018, a customer alleged that Stephen Hamilton did not follow his instructions. This case is currently pending. The customer is seeking $100,000 in damages.
Oakes & Fosher dedicates its entire legal practice to helping investors across the nation. If you, or someone you know, have lost money investing with Stephen Hamilton, please contact Oakes & Fosher for a free and private consultation.