Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on March 27, 2018 indicate that former Colorado-based Taylor Capital Management broker Mark Raezer, who has received a pending customer dispute, was recently sanctioned by state regulatory authorities and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Raezer (CRD# 6439772).
Mark Raezer has spent two years in the securities industry and was most recently registered with Taylor Capital Management in Aurora, Colorado (2015-2018). He has no previous registrations. He has passed one securities industry examination: Series 6 (Investment Company Products/Variable Contracts Representative Examination). He is currently not registered with any state, firm or self-regulatory organization (SRO).
According to his BrokerCheck report, Mark Raezer has received one regulatory sanction and one pending customer complaint, and he resigned from his former employer in connection to alleged rule violations.
In February 2018 a customer alleged Mark Raezer, while employed at TCM Securities, breached his fiduciary duty, committed fraud, misrepresented material facts, acted negligently, and violated Colorado securities laws in connection to the sale of Madyson Capital Management LLC limited partnership units which he allegedly represented as “low-risk, guaranteed, safe and profitable.” The customer is seeking $426,052 in damages in the pending complaint.
In January 2018 the State of Colorado sanctioned him in connection to allegations he sold a security without the knowledge or written approval of his broker-dealer firm, on whose books and records the transactions were never recorded. He was issued a 60-day suspension from acting as a broker.
In January 2018 he was “permitted to resign” from his position at TCM Securities after the firm was notified by the Colorado Division of Securities that the Division “was prepared to file charges against Raezer for selling away” without informing the firm of his plans to do so.
If you or someone you know has complaints regarding Mark Raezer, call the experienced attorneys at Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recover lost funds. All cases are taken on contingency: 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.