Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeremiah Taylor (Taylor), currently associated with Charles Schwab & Co., 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 $250,000.00 on January 30, 2025.
Starting in 2022, the client alleges he received incorrect information regarding Roth 401k funds for rollover into a Roth IRA, allegedly causing unplanned tax liabilities, changes in future income planning due to additional taxes owed, and lost tax savings.
