Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Taylor (Taylor), previously associated with Voya Financial Advisors, INC., 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 pending customer complaint with a damage request of $99,999.00 on December 19, 2023.
Claimant alleges that, in 2015, Representative recommended alternative investments that were not suitable for Claimant. Claimant further alleges that Representative failed to disclose that the investments were high-risk, speculative, and illiquid.