Charles Taylor – Financial Advisor Charles Taylor Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses
Charles Taylor CRD #1215434
Charles Taylor is licensed with Independent Financial Group, LLC. Charles Taylor was previously licensed with Royal Alliance Associates, Inc. According to Charles Taylor’s CRD, Charles Taylor was fined $25,000 and suspended for six months from the securities industry on in August 2019.
ACCORDING TO FINRA Allegations:
Hearing Panel decision rendered August 22, 2019 wherein Charles Taylor is fined $25,000, suspended from association with any FINRA member in all capacities for six months, suspended from association with any FINRA member in any supervisory capacity for six months, to run consecutively with his all capacities suspension, and ordered to pay costs, jointly and severally, of $8,459.81. The sanctions are based on findings that Charles Taylor engaged in undisclosed outside business activities and was compensated for referring customers to a company marketing investment in precious metals without advance disclosure to his member firm. The findings stated that from these referrals, Charles Taylor received at least $10,081 in referral fees. The findings also stated that Charles Taylor failed to adequately supervise two individual’s referral activity to ensure that they properly disclosed their outside business activity. If no further action is taken, the decision will become final on October 9, 2019. If this decision becomes FINRA’s final disciplinary action, Charles Taylor’s suspensions will begin with the opening of business on Monday, October 21, 2019.
Goodman & Nekvasil P.A. May Recover Investor Losses
If you lost money on investments with Charles Taylor and believe the investments may have been unsuitable or otherwise improper for you, we would like to discuss the possibility of your retaining our firm to represent you in an arbitration action concerning Charles Taylor’s conduct. There is no charge for an evaluation of your case. Further, we handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee. Unless you recover any money, you pay us nothing, not even the costs and expenses which the firm will advance on your behalf.
Kalju Nekvasil, Esq., formerly regional counsel with the NASD, now known as FINRA, has practiced in this area of the law for more than 35 years. Goodman & Nekvasil, P.A. has recovered more than $180 million on behalf of victimized investors. If you lost money on investments with Charles Taylor and would like your case evaluated by a securities attorney (again, there is no charge for an evaluation and all cases are handled on a purely contingency fee basis), please contact us.
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