Published on:

Cory Taylor Has Been the Subject of Three Regulatory Sanctions

Cory Taylor

Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on January 25, 2017 indicate that former Ohio-based Ameriprise Financial Services broker Cory Taylor has been sanctioned by FINRA and barred from acting as a broker or otherwise associating with a broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Taylor (CRD# 4397111).

Cory Taylor has spent 12 years in the securities industry and was most recently registered with Ameriprise Financial Services in Nelsonville, Ohio (2004-2016). He was previously registered with IDS Life Insurance Company in Minneapolis, Minnesota (2004-2006). He has passed two securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on October 2, 2004, and Series 7 (General Securities Representative Examination), which he obtained on July 10, 2004. He is currently not registered with any state or firm.

According to his BrokerCheck report, Cory Taylor has received three regulatory sanctions and resigned from his former employer in connection to alleged rule violations.

In February 2017 FINRA sanctioned him following allegations he failed to respond to a request for information. He was consequently barred from acting as a broker or otherwise associating with a broker-dealer firm.

In 2016 he was “permitted to resign” from his position at Ameriprise Financial Services” in while he was under suspension for “compliance policy violations” concerning his alleged use of discretion in non-discretionary accounts.

In 2016 the Ohio Department of Insurance sanctioned him in connection to allegations he had received a regulatory action in 2014 which he had not disclosed to the department in a timely manner. He was issued a fine of $400.

In 2014 FINRA sanctioned him following allegations he exercised discretion in customer accounts without prior written authorization from the customers or the firm’s acceptance of the accounts as discretionary. He was issued a 6-month suspension and a fine of $15,000.

If you or someone you know has complaints regarding Cory Taylor, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recover lost funds. All cases are taken on a contingency basis: we only receive payment if and when you collect money. Time to file your claim may be limited, so we suggest you avoid delay. Call 877-238-4175 now to speak to an attorney for free.