Randy Taber – Financial Advisor/Broker Suspended from Securities Industry | Recover Investment Losses

Randy Taber – Financial Advisor/Broker Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses

Randy Taber a/k/a Randyl Robert Taber CRD #1399854

Randy Taber a/k/a Randyl Robert Taber is a licensed financial advisor with Union Capital Company. Randy Taber was previously licensed with Benchmark Investments.

According to FINRA, Without admitting or denying the findings, Taber consented to the sanctions and to the entry of findings that he impersonated a customer on a telephone call to a financial services company. The findings stated that Taber called the company, identified himself as a registered representative with his member firm, and requested information about a variable annuity he previously sold to the customer. The company refused to provide Taber with the information he was seeking, however, because he was no longer the broker of record listed on the customer’s annuity. Later that day, Taber again called the company and sought the same information. In this second call, Taber falsely represented that he was the customer and provided the customer’s personal information in order to obtain information about the annuity. The company recognized Taber, again refused to provide information about the customer’s annuity and alerted the firm of Taber’s conduct. When the firm confronted Taber about his impersonation of the customer, he twice denied doing so until the firm presented him with phone records demonstrating his contacts with the company.

Goodman & Nekvasil, P.A. May Recover Investor Losses:

If you lost money on investments with Randy Taber 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 Randy Taber’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 $200 million on behalf of victimized investors. If you lost money on investments with Randy Taber 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.

Some of the information in this blog post was obtained on 12/20/2021 directly from FINRA BrokerCheck, without any changes. If you believe this information was reported incorrectly, please contact our firm at 1-800-500-4442.

Contact Us Today!

[]
1 Step 1
reCaptcha v3
keyboard_arrow_leftPrevious
Nextkeyboard_arrow_right
FormCraft - WordPress form builder

Leave a Reply

Your email address will not be published. Required fields are marked *