Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Tamarah Taylor (Taylor), previously associated with Allen C. Ewing & Co., has at least 2 disclosable events. These events include 2 tax liens, alleging that Taylor recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a final customer complaint on September 16, 2024.
Without admitting or denying the findings, Taylor consented to the sanction and to the entry of findings that she misrepresented to an entity that sought to become a registered broker-dealer that she had completed a FINRA new membership application for the entity, that it was a FINRA member, and that it was fully registered with the SEC as a broker-dealer. The findings stated that Taylor also fabricated documents that falsely reflected the prospective member’s status as a fully registered broker-dealer and accepted FINRA member, and she provided the fabricated documents to the prospective member and to external auditors.
