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Expert Review

Laura Ward: Hidden Disclosures & Lawsuits (Update 2024)

Who is Laura Ward (CRD#: 1385878)?

Laura Ward is a financial advisor at First Republic Investment Management in San Francisco, California. She has been employed for the past 37 years. First Republic Investment Management and First Republic Securities Company are their current employers. Laura Ward has previously completed the Series 63 and Series 65 examinations and is licensed to provide financial advice in the states of California, Florida, Hawaii, and Massachusetts. Laura Ward may also provide consulting services in other states where registration or notice filing is not required.

First Republic Investment Management is a financial advisory firm based in San Francisco, California. First Republic Investment Management has 720 advisors on its advisory team.

This article will go deeper into Laura Ward’s past, uncovering hidden disclosures and SEC litigations, as well as analyzing the legal consequences.

About First Republic Investment Management

First Republic Private Wealth Management is an advisory firm situated in San Francisco, California.  The team believes in customized approaches rather than a one-size-fits-all strategy. They provide wealth management plans that address your entire financial picture.  Clients of First Republic Private Wealth Management work with a single wealth advisor who oversees a team of banking, investment management, trust, and brokerage specialists who collaborate and collaborate with you to effectively address your particular circumstance. 

First Republic Private Wealth Management comprises First Republic Trust Company, First Republic Trust Company of Delaware LLC, First Republic Investment Management Inc., an SEC Registered Investment Advisor, and First Republic Securities Company, LLC, Member FINRA / SIPC. 

First Republic Investment Management Services

The company offers Investment management services for high-net-worth individuals, families, pooled investment vehicles, pension and profit-sharing plans, charity organizations, and state municipal and government entities. The firm is a wealth management specialist that also provides trust, brokerage, and banking services. Additionally, the firm invests in public equities, fixed-income, and alternative investment markets.

First Republic Investment Management Services offers a wide range of services, some of which are as follows:

Investment Management Services: 

First Republic offers objective, individualized wealth management solutions. Their wealth managers deliver customized investment advice to individuals, companies, governmental entities, and many nonprofit organizations.

Brokerage Services: 

Their professionals offer full-service and self-directed brokerage services, with the sole goal of developing the best solutions for you. Their one-of-a-kind platform offers brokerage, trading, and custody services.

Trust Services: 

First Republic Trust Company and First Republic Trust Company of Delaware LLC provide hands-on, personalized trust services, handling delicate matters with experience, objectivity, and intelligent decision-making.

22/11/2023 Update
As of now, Laura Ward has not responded nor has she apologized for his misdeeds. She has ignored our efforts to highlight the problems faced by her victims. Furthermore, she has only focused on propagating his fake PR.

Laura Ward Disclosures: BrokerCheck, FINRA, And SEC

BrokerCheck report of Laura Ward includes information such as employment history, professional qualification, disciplinary actions, criminal convictions, civil judgment, and arbitration awards as well as disclosure events.

According to the BrokerCheck report, a customer dispute disclosure has been reported against Laura Ward. In disclosure, the client with commission-based brokerage accounts complained that the asset allocations were overweighted in cash. The client further claimed his accounts were forgotten about. The client requested to be compensated based on his calculations had the cash has been invested in equity index mutual funds for the previous two years.

Financial Advisors often take down their client disputes from FINRA’s Public database through Disclosure Expungement. Even law firms provide expungement services to FAs so that they can hide or remove their client disputes and maintain a clean record. So the lack of any disclosures on BrokerCheck doesn’t necessarily mean that the broker hasn’t had any disputes in the past.



SEC Litigations & Forms

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Laura Ward Lawsuits

Most court cases filed in the United States of America are archived on CourtListener, UniCourt,, Justia, Trellis, law, and Law360. If Laura Ward has been involved in any such lawsuits, then you can find the documents using the links down below:

There might be more pending lawsuits against Laura Ward that are not listed on these directories. Lawsuit files are often deleted from online directories. So if you cannot find any lawsuits against Laura Ward on these websites, then you can contact the local authorities and check if they have a physical copy of any lawsuits.

Laura Ward Complaints and Legal Battles

The following websites/directories are the best sources for finding complaints, litigations, and disputes against finance advisors. You can find all the complaints against Laura Ward using the websites down below:

Better Alternatives To Laura Ward:

These recommendations are based on the ratings of, the biggest financial advisor review platform on the internet.
Screenshot 7

Manages Assets Worth

  • $6,427,792,177


  • Financial planning
  • Portfolio management
  • Selection of other advisors (including private fund managers)
  • Family office and consulting services
Screenshot 8

Manages Assets Worth

  • $4,465,757,285


  • Financial planning
  • Portfolio management
  • Pension consulting
  • Selection of other advisors (including private fund managers)
Screenshot 9

Manages Assets Worth

  • $302,000,000


  • Financial planning
  • Portfolio management

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