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Investors Allege Michael Laderer Created a Ponzi Scheme

Feb 16, 2022 Failure to Supervise

Michael Laderer (CRD #:1436877), a broker registered with Henley & Company, is involved in two investor disputes, according to his BrokerCheck record, accessed on February 2, 2022. He is also an investment advisor registered with Henley & Company Wealth Management.

Investor Allegations

In 2021, Michael Laderer was named in two similar investor disputes. According to the allegations, Henley & Company failed to provide reasonable, adequate, and meaningful supervision over their branch office after allowing Michael Laderer to allegedly carry out a Ponzi scheme to defraud and misappropriate approximately $3,500,000 from his customers.

The investors are seeking $3,500,000 in compensation一the cases are still pending.

FINRA Rule 3110 

FINRA’s rules guide the conduct of its members, and these rules include requirements that firms supervise their brokers and financial advisers. The rule addressing supervision is FINRA Rule 3110.

FINRA 3110 requires firms to maintain a supervisory system reasonably designed to achieve compliance with FINRA rules. It also requires that the firm designate a registered principle whose job it is to carry out supervisory responsibilities. The firm must make reasonable efforts to determine that all supervisory personnel are qualified, either by experience or training.

FINRA Rule 2010

By allegedly defrauding his clients through a Ponzi Scheme, Michael Laderer violated FINRA Rule 2010 which requires associated persons to observe high standards of commercial honor and just and equitable principles of trade.

Michael Laderer Background Information

Michael Laderer has passed the following exams:

  • Series 65 - Uniform Investment Adviser Law Examination
  • Series 63 - Uniform Securities Agent State Law Examination
  • SIE - Securities Industry Essentials Examination
  • Series 7 - General Securities Representative Examination
  • Series 24 - General Securities Principal Examination
  • Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)

Michael Laderer is a registered broker in 34 states. He is also a registered investment advisor in Virginia and New York.

Michael Laderer has also worked with the following firms: 

  • Raymond James Financial Services (CRD#:6694)
  • Robert Thomas Securities (CRD#:10147)
  • Philips, Appel & Walden (CRD#:659)
  • Denton & Company, Incorporated (CRD#:1630)
  • Donald & Co. Securities (CRD#:7776)

Kurta Law Can Help

If you suffered losses after working with Michael Laderer, don't hesitate to contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.