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Osbert Haynes Allegedly Executed Unauthorized Transactions

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Osbert Haynes

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on November 8, 2017 indicate that New York-based Laidlaw & Company broker Osbert Haynes, also known as Ozzy Haynes, has received a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Haynes (CRD# 2880011).

Osbert Haynes has spent 20 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, Connecticut, Florida, and New York.

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

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

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

In 2013 Gold Street Properties filed a civil judgment or lien totaling $12,150 against him. The lien remains outstanding.

In 2013 FINRA sanctioned him following allegations he failed to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request for information regarding the status of compliance. He was temporarily suspended from associating with any FINRA member in any capacity.

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 complaints regarding Osbert Haynes, also known as Ozzy Haynes, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recover lost funds. All cases are taken on a contingency basis: we only receive payment if and when you collect money. Time to file your claim may be limited, so we suggest you avoid delay. Call 877-238-4175 now to speak to an attorney for free.