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.

Between October 2016 and December 2022, Lang engaged in outside business activities without prior written disclosure to his two member firms. As a result, Lang violated FINRA Rules 3270 and 2010. For these violations, Lang is suspended for four months in all capacities and fined $5,000.

From January through December 2023, while associated with Pruco Securities, Carter recommended that two retail customers, a married couple, engage in options trading that was not in their best interest or suitable for them. As a result, Carter willfully violated Rule 15l-1(a)(1) of the Securities Exchange Act of 1934 and violated FINRA Rules 2360(b)(19)(A) and 2010.

From November 2023 to February 2025, Jean-Bart failed to timely respond to requests for information and documents issued pursuant to FINRA Rule 8210. As a result, Jean- Bart violated FINRA Rules 8210 and 2010 and is suspended for ten months and fined $5,000.