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Osbert Haynes Has Received a FINRA Sanction

Osbert HaynesPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on January 17, 2018 indicate that New York-based Laidlaw & Company broker Osbert Haynes has received a FINRA sanction and a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Haynes (CRD# 2880011).

Osbert Haynes has spent twenty years in the securities industry and has been registered with Laidlaw & Company in New York, New York since 2013. Previous registrations include John Thomas Financial in New York, New York (2012-2013); Spartan Capital Securities in New York, New York (2011-2012); Avalon Partners in New York, New York (2010-2011); EKN Financial Services in Woodbury, New York (2005-2010); Avalon Partners in New York, New York (2002-2005); Thomas Fletcher & Company in New York, New York (2002-2004); Fordham Financial Management in New York, New York (2000-2002); Keaton Financial Services in Hackensack, New Jersey (1999-2000); PHD Capital in New York, New York (1998-1999); Andrew Garrett in New York, New York (1997-1998); and Royce Investment Group in Woodbury, New York (1997). He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on May 9, 1997, and Series 7 (General Securities Representative Examination), which he obtained on May 1, 1997. He is a registered broker and investment adviser with four US states: California, Florida, Connecticut and New York.

According to his BrokerCheck report, Osbert Haynes has received one FINRA sanction, one pending customer complaint, and six unsatisfied judgments or liens.

In August 2017 a customer alleged Osbert Haynes, while employed at Spartan Capital Securities, recommended unsuitable investments and made unauthorized transactions. The customer is seeking more than $163,800 in damages in the pending complaint.

In 2013 FINRA sanctioned him following allegations he failed to comply with an arbitration award or settlement agreement or failed to satisfactorily reply to a request for information regarding the status of his compliance. He was issued a temporary suspension from association with any FINRA member in any capacity.

In 2013 the State of New York filed a tax lien totaling $1,377 against him. The lien remains outstanding.

In 2012 Gold Street Properties filed a civil judgment or lien totaling $12,150 against him. The judgment or lien remains outstanding.

In 2008 Arow Financial Services filed a civil judgment or lien totaling $4,018 against him. The judgment or lien remains outstanding.

In 2007 the State of New Jersey filed a tax lien totaling $3,514 against him. The lien remains outstanding.

If you or someone you know has lost money investing with Osbert Haynes, call the experienced attorneys at Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup your losses. Fitapelli Kurta accepts all cases on a contingency basis: we only get paid if and when you collect money. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.