Laidlaw & Company (Uk) Ltd. broker Henrique Lucena (CRD# 5605196) is accused of equities and stock losses. He has been registered with Laidlaw & Company (Uk) Ltd. in Coral Gables, Florida, since 2020. He was registered with Morgan Stanley in Aventura, Florida, from 2017 to 2020, and UBS Financial Services Inc. in Coral Gables, Florida, from 2010 to 2017.
In March 2021,
Henrique Lucena Customer Complaints
He has been the subject of two customer complaints between 2020 and 2025, according to his CRD report:
April 2025. “Claimant alleges unauthorized, unsuitable and negligent investment recommendations from 2021-2024.” The customer is seeking $1,000,000 in damages, and the case is currently pending. The complaint took place while he was registered with Laidlaw & Company (Uk) Ltd., and it was regarding equities, common and preferred stocks, and options losses.
November 2020. “Time frame: 2010-2014 Claimant’s counsel alleges misrepresentation and unauthorized trading with respect to the handling of his investment accounts.” The case was settled for $350,000. The complaint took place while he was registered with UBS Financial Services Inc., and it was regarding equities.
Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, Laidlaw & Company (Uk) Ltd. may be liable for investment or other losses suffered by Henrique Lucena’s customers.
Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If you have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.
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