Soreide Law Group has filed a FINRA arbitration on behalf of their client (Claimant) against:
CETERA ADVISORS NETWORK, LLC., and their registered representative,
HENRY ARTHUR TAYLOR III (also known as: HENRY ARTHUR TAYLOR, TREY TAYLOR) CRD#: 4641256 (Respondents)
The Claimant, a retired teacher, alleges he suffered losses due to the mishandling of his retirement savings by the Respondents. The Claimant alleges he was recommended an outside investment in a trucking company by Taylor. Allegedly, HENRY ARTHUR TAYLOR III failed to conduct adequate due diligence and the outside investment was a total loss. The lawsuit alleges that the Respondent Cetera was negligent in failing to supervise Taylor causing losses to the Claimant’s retirement funds.
According to the lawsuit, the allegations against the Respondents’ in this case are: breach of fiduciary duty, negligence, and breach of contract.
The lawsuit is alleging losses of $55,000.
According to FINRA’s BrokerCheck, which is available to the public on FINRA’s website, HENRY ARTHUR TAYLOR III has 5 Disclosures on his report. Taylor has been in the securities industry for 15 years and was listed with 4 firms. He has been listed with the following since 5/17/2017:
MOLONEY SECURITIES CO., INC.
2964 W. Huntsville Avenue Suite C
Springdale, AR 72762
These are the other firms Taylor was registered with:
09/03/2013 - 03/31/2017 CETERA ADVISOR NETOWRKS LLC - SPRINGDALE, AR
07/25/2008 - 09/03/2013 TOWER SQUARE SECURITIES, INC. - SPRINGDALE, AR
03/24/2003 - 07/16/2008 PRUCO SECURITIES, LLC - SPRINGDALE, AR
If you’ve also experienced investment losses due to the actions or recommendations of CETERA ADVISORS NETWORK, LLC., and/or registered representative, HENRY ARTHUR TAYLOR III, contact Soreide Law Group and speak to an experienced securities lawyer at no cost regarding the possible recovery of your financial losses through a FINRA arbitration at: 888-760-6552.
Soreide Law Group represents our clients nationwide before FINRA. We operate on a contingency fee basis—no fee if no recovery.
Investors apparently complained about securities broker Matthew Robert Westberry (also known as Matt Westberry) [CRD: 4908745, Marion, Iowa], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Westberry worked for SCF Securities Inc. from February 28, 2022, to October 23, 2024, and previously worked for LPL Financial LLC from August 10, 2018, to […]
Investors may have suffered financial harm by securities broker Joseph Anthony Monaco Jr. [CRD: 1398158, Melville, New York], given the public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Monaco worked for Oppenheimer Co. Inc. from June 7, 2023, to December 6, 2024, and previously worked for Stifel Nicolaus from June 25, 2014, to […]
Investors potentially experienced sales practice violations by securities broker Scott Thomas Schaul [CRD: 2200484, Attleboro, Massachusetts], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Schaul worked for Essex Securities LLC from March 22, 2010, to August 6, 2019, Pinnacle Investments LLC from June 28, 2019, to April 13, 2026, and has […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com