FINRA Sanctions Robin Taliaferro

Soreide Law Group is investigating possible investor claims against securities broker Robin Taliaferro AKA Robin Lee Taliaferro [CRD#: 442144, Solvang, CA]. Notably, FINRA sanctioned the securities broker, who worked for Coastal Equities Inc. Allegedly, Taliaferro failed to provide information and documents to FINRA when it investigated possible violations of FINRA rules. Here is a brief summary FINRA’s allegations against Taliaferro.

FINRA Sanctions Coastal Equities Inc. Securities Broker Robin Taliaferro For Failure To Provide Information

Evidently, FINRA issued Case #: 2021071987901 on July 15, 2022 sanctioning Robin Taliaferro for infractions. Allegedly, Taliaferro failed to provide information and documents to FINRA when it investigated possible violations of FINRA rules. Therefore, on July 15, 2022, FINRA barred the securities broker.

Supposedly, in July 2021, FINRA began a cause investigation into Taliaferro. The investigation was designed to determine if Taliaferro had engaged in any sales practice violations while he was associated with Sutter Securities, Western International Securities, and Boustead Securities. On May 24, 2022, FINRA sent Taliaferro a request for the production of documents and information. On June 14, 2022, through his counsel, Taliaferro indicated that he had received FINRA’s request but would not produce the documents and information requested. As a result, Taliaferro violated FINRA Rules 2010 and 8210.

PaineWebber Securities Broker Sanctioned By Connecticut For Unauthorized Transactions

Also, Connecticut issued a Decision on January 31, 1989 sanctioning Robin Taliaferro for infractions. Allegedly, Taliaferro made unauthorized transactions.

Robin Taliaferro Discloses Negligence Allegations By PaineWebber Client

Evidently, a client of PaineWebber contested Robin Taliaferro’s sales practices, according to a complaint. Allegedly, Taliaferro breached a contract, breached a fiduciary duty, was negligent, and failed to supervise. Supposedly, the investments which Taliaferro sold or recommended had caused the client to sustain damages. Therefore, PaineWebber opted to settle the matter on May 1, 1995.

PaineWebber Investor Accuses Taliaferro Of Misrepresentation

Also, a PaineWebber client filed a complaint about Robin Taliaferro. Notably, the client alleged that Taliaferro made misrepresentations. Because of this, the client sustained damages. Therefore, on December 29, 1994, PaineWebber settled this matter by paying the client $10,000.

Robin Taliaferro Discloses Breach Of Fiduciary Duty Allegations By PaineWebber Client

Also, a client of PaineWebber contested Robin Taliaferro’s sales practices, according to a complaint. Allegedly, Taliaferro made misrepresentations and breached a fiduciary duty. Supposedly, the investments which Taliaferro sold or recommended had caused the client to sustain damages. Therefore, PaineWebber opted to settle the matter on October 12, 1994 by compensating the client in the amount of $17,500.

PaineWebber Investor Accuses Taliaferro Of Breach Of Fiduciary Duty

Moreover, a PaineWebber client filed a complaint about Robin Taliaferro. Namely, the client alleged that Taliaferro was negligent, breached a fiduciary duty, breached a contract, and failed to supervise. Because of this, the client sustained damages. Therefore, on April 22, 1994, PaineWebber settled this matter with the client.

Robin Taliaferro Discloses Unsuitable Trading Accusations By Prudential-Bache Securities Client

Also, a client of Prudential-Bache Securities contested Robin Taliaferro’s sales practices by filing FINRA Arbitration #: 92-03695. Allegedly, Taliaferro made unsuitable transactions. Supposedly, the investments which Taliaferro sold or recommended had caused the client to sustain damages. Therefore, FINRA Arbitrators issued an Award dated November 23, 1993 compelling Prudential-Bache Securities or Taliaferro to compensate the client in the amount of $139,052.

Did Coastal Equities Inc. Securities Broker Taliaferro Cause You To Experience Damages?

Robin Taliaferro worked for Coastal Equities in Solvang, CA, as a securities broker from November 11, 2021 to July 12, 2022.

Have you experienced damages because of securities broker Robin Taliaferro? If so, get in touch with Soreide Law Group at (888) 760-6552 and speak with a securities lawyer about a possible recovery of your investment losses. Soreide Law Group, who has successfully recovered money for investors throughout the United States, represents clients on a contingency fee basis and advances all costs. Taliaferro and brokerage firms Taliaferro was employed by deny any and all allegations of sales practice violations.