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Dennis Taylor Formerly with Taylor Capital Management Has 4 Customer Complaints for Alleged Broker Misconduct

Who is Dennis Taylor formerly with Taylor Capital Management?

Dennis Taylor (CRD #1563266) who was formerly registered with Taylor Capital Management and located in Woodstock, Georgia is a subject of one of our many securities industry sales practice abuse investigations.

Prior to Taylor Capital Management, Dennis Taylor was associated with 7 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Dennis Taylor has had his own regulatory problems.  In February 2020, he was permanently barred by FINRA for failing to respond to its request for information in connection with 1 of its investigations.

Dennis Taylor Customer Complaints

Dennis Taylor has been the subject of 4 customer complaints that we know about. There are currently four pending customer complaints filed against Taylor Capital Management for investment losses caused by Dennis Taylor’s alleged misconduct.

Allegations Against Dennis Taylor

A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows:

  • Claimants allege that Respondents facilitated the sales of unregistered securities in violation of the Illinois Securities Act and the sale of speculative non-trade real estate investment trusts allegedly made by Dennis Taylor.
  • Claimants alleged negligent supervision by Respondents in the sale of 1st Global Capital Notes allegedly by Dennis Taylor..
  • The primary allegation is Negligent Supervision in the sale of 1st Global Notes allegedly by Dennis Taylor.
  • The arbitration claim alleged negligent supervision on the part of the Respondents in the sale of 1st Global Notes allegedly by Dennis Taylor.

Dennis Taylor Red Flags & Your Rights as An Investor

Of course, Dennis Taylor did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags that should put all current and former customers of Dennis Taylor at Taylor Capital Management on alert to review carefully the activity and performance of their accounts and question whether Dennis Taylor has engaged in any stockbroker misconduct that may have caused them investment losses.

A large number of customer complaints at Taylor Capital Management also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.

File A Claim to Recover Your Investment Losses at Taylor Capital Management Due to Dennis Taylor

If you have questions about Taylor Capital Management and/or Dennis Taylor and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Robert Wayne Pearce

Robert Wayne Pearce of The Law Offices of Robert Wayne Pearce, P.A. has been a trial attorney for more than 40 years and has helped recover over $170 million dollars for his clients. During that time, he developed a well-respected and highly accomplished legal career representing investors and brokers in disputes with one another and the government and industry regulators. To speak with Attorney Pearce, call (800) 732-2889 or Contact Us online for a FREE INITIAL CONSULTATION with Attorney Pearce about your case.

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