Richard Kyle Taylor (Richard Taylor) – Financial Advisor/Broker Richard Taylor Suspended from the Securities Industry | Goodman & Nekvasil, P.A. May Recover Investor Losses
Richard Taylor was a previously licensed financial advisor/broker with PFS Investments, Inc. FINRA reports that Richard Taylor was fined $5,000 and suspended from the securities industry for three months in May 2018.
According to FINRA Allegations:
Richard Taylor consented to the sanctions and to the entry of findings that Richard Taylor worked as the chief operating officer (COO) for two companies, earned an annual salary of $75,000 for his work as COO, and failed to provide Richard Taylor’s member firm with prior written notice of Richard Taylor’s work for the companies.
According to Richard Taylor’s BrokerCheck Report:
A customer dispute has been filed alleging sales practice violations involving Richard Taylor.
Customer Dispute 5/19/17: Customers allege they gave Richard Taylor’s stepfather money to invest in outside businesses which were not disclosed to the firm. This customer dispute is pending and seeks $600,000 in damages.
Goodman & Nekvasil P.A. May Recover Investor Losses
If you lost money on investments with Richard 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 Richard 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 Richard 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.
Some of the information in this blog post was obtained on 5/15/2020 directly from FINRA BrokerCheck, without any changes. If you believe this information was reported incorrectly, please contact our firm at 1-800-500-4442.
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