Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Taylor (Taylor), previously associated with B. Riley Wealth Management, has at least one disclosable event. These events include one customer complaint, alleging that Taylor recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $127,572.71 on April 05, 2021.
Alleges unsuitable investment recommendations in violation of FINRA Rules 2111 and 2090 and failure to supervise under FINRA Rule 3110 for transactions that took place in 2016 to mid-2017.