Taylor Thompson Has An Investor Complaint – May Recover Investor Losses

Taylor Thompson Has An Investor Complaint – Goodman & Nekvasil, P.A., May Recover Investor Losses

Taylor Thompson has an investor complaint pending for $1M in alleged damages.

Irvine financial advisor Taylor Thompson (CRD# 5951104) allegedly failed to execute an unsuitable investment strategy, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with UBS Financial Services, whose website describes him as a Senior Vice President of the Thompson Katzaroff Kottmeier Group.


Frank Kuiper Investigation


Mr. Thompson’s BrokerCheck report discloses one investor complaint. The pending complaint alleges damages of $1 million.

Mr. Thompson is a Senior Vice President, Wealth Management for UBS Financial Services’ Thompson Katzaroff Kottmeier Group, according to the firm’s website. He joined the practice in 2012.

Based in Irvine, California, he has been a broker and an investment advisor with UBS Financial Services since 2012.

Goodman & Nekvasil, P.A., is investigating brokers who may have unsuitably recommended investments to its clients.    

St. Petersburg, Florida law firm Goodman & Nekvasil, P.A., has a national practice representing victimized investors.  The  firm continues to investigate brokerage firms that placed elderly retirees and other conservative investors in unsuitable investments.

Goodman & Nekvasil, P.A., has filed numerous cases against brokerage firms selling high-risk investments and has recovered more than $400 million dollars on behalf of victimized investors.

We allege in these cases that these investment recommendations were unsuitable for our clients in view of their financial situation, needs and investment objectives.

There is no charge for an evaluation of your case. We handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee.

If you incurred losses on your investment and would like your case evaluated by a securities attorney, please contact us.

Some of the information in this blog post was obtained from FINRA on 10/19/23. If you believe this information was reported incorrectly, please contact our firm: 1-800-500-4442.

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