One or more investors potentially experienced sales practice violations due to securities broker Jeremiah Neil Taylor [CRD: 7002957, Austin, Texas], based on publicly available information reported on FINRA BrokerCheck. Jeremiah Taylor has worked with Charles Schwab & Co. Inc. since March 11, 2019, serving as both a broker and an investment adviser at the firm’s Austin, Texas location. See the following information to understand more about the client dispute and allegations involving this broker.
Notably, on January 29, 2025, a Charles Schwab & Co. Inc. client filed Civil Action No. 1:25-cv-191 about Jeremiah Taylor. The client alleged that Taylor provided false information about a Roth 401(k) rollover into a Roth IRA. This allegedly led to impaired income planning, unexpected tax liabilities, and lost opportunities. Because of this, the client claims to have sustained damages and is seeking $250,000 in compensation from Charles Schwab & Co. Inc. or Taylor. Evidently, this civil suit is pending a resolution.
When a securities broker or financial advisor makes misrepresentations involving retirement account rollovers, it typically means the advisor gave inaccurate or incomplete information about how moving funds—such as from a Roth 401(k) to a Roth IRA—would affect taxes, future income, or other financial goals. These types of rollovers can have complex implications, and if an investor acts on bad advice, they might face unexpected tax bills or miss out on legitimate savings. Misrepresentation in these situations can deeply impact retirement planning.
Do you have concerns or questions regarding investments you made with Jeremiah Taylor? If so, you should contact Soreide Law Group online or at (888) 760-6552 and talk with a securities attorney concerning a potential recovery recovery. Soreide Law Group has recovered losses for investors throughout the US. Also, the firm takes cases on a contingency fee arrangement and advances all costs. Taylor and brokerage firm Charles Schwab deny accusations of sales practice violations.
FRANCISCO M GOMEZ (FRANCISCO MANUEL GOMEZ, FRANK GOMEZ) has been suspended by FINRA from acting as a broker with a start date of 4/6/2026. The “Regulatory” disclosure was dated 3/13/2026. The allegations against Gomez were, “Respondent Gomez failed to respond to FINRA requests for information.” The duration of the suspension was listed as, “Continues until […]
Investors apparently complained about securities broker Gianpaolo Bicego (also known as Paolo Bicego) [CRD: 5211610, Beverly Hills, California], based on publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Gianpaolo Bicego worked for J.P. Morgan Securities LLC from February 17, 2010, through October 25, 2023, and has been registered with Wells Fargo Clearing […]
Investors may have suffered financial harm by securities broker Daniel Malcolm Makin [CRD: 4367894, Westerly, Rhode Island], given the disclosures on FINRA BrokerCheck. Makin worked for Raymond James Financial Services Inc. from March 21, 2001, to September 30, 2025. Investors should read below to review the disclosures reported on his record. Raymond James Investor Accused […]
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