Laidlaw & Company (UK) Ltd.

07/15/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2016049087201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Laidlaw & Company (UK) Ltd. (Respondent) Member Firm CRD No. 119037 John Coolong (Respondent) General Securities Principal CRD 5924271 Pursuant to FINRA Rule 9216, Respondents Laidlaw & Company (UK) Ltd. and John Coolong submit this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Reference 2016049087201finra.orgdata-portal.finra.org

07/21/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014040622201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Laidlaw & Company (UK) LTD., Respondent BD No. 119037 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Laidlaw & Company (UK) LTD. ("Respondent." "Laidlaw" or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose ofproposing a settlement ofthe alleged rule violations

Reference 2014040622201data-portal.finra.orgfinra.org

11/20/2025: From September 2022 through March 2023, Laidlaw conducted a securities business while failing to maintain the required minimum net capital on at least 108 days and filed two inaccurate notices of net capital deficiency, in violation of Exchange Act §§ 15(c)(3) and 17(a), Exchange Act Rules 15c3-1 and 17a-11, and FINRA Rules 4110(b)(1) and 2010. From at least September 2022 through June 2023, Laidlaw failed to establish, maintain, and enforce a supervisory system, including written supervisory procedures (WSPs), reasonably designed to achieve compliance with its net capital and financial reporting obligations. As a result, the firm violated FINRA Rules 3110 and 2010. Between November 2020 and January 2021, Laidlaw violated Exchange Act § 15(c)(2), Exchange Act Rule 15c2-4, and FINRA Rule 2010 by failing to establish an independent escrow account in a contingency offering for an affiliated issuer. For these violations, Laidlaw is censured and fined $200,000.

Reference 2023077061201finra.orgdata-portal.finra.org

02/17/2023: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019060646801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Laidlaw & Company (UK) Ltd. (Respondent) Member Firm CRD No. 119037 Pursuant to FINRA Rule 9216, Respondent Laidlaw & Company (UK) Ltd. (Laidlaw) submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that, if accepted, FINRA will not bring any future actions against Respondent alleging violations based on the same factual findings described in this AWC.

Reference 2019060646801data-portal.finra.orgfinra.org

02/07/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20090163061-01 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Laidlaw & Company (UK) Ltd., Respondent Member Firm BD No. 119037 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Laidlaw & Company (UK) Ltd. ("Laidlaw" or "the firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

Reference 2009016306101data-portal.finra.orgfinra.org

05/01/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015043362701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Laidlaw & Company (UK) LTD., Respondent BD No. 119037 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Laidlaw & Company (UK) LTD. ("Respondent," "Laidlaw," or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose

Reference 2015043362701data-portal.finra.orgfinra.org