Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 11, 2017 indicate that Oklahoma-based Voya Financial Advisors broker/adviser Robert Taylor has been sanctioned by FINRA and issued a suspension from acting as a broker. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Taylor (CRD# 1423130).
Robert Taylor has spent 30 years in the securities industry and has been registered with Voya Financial Advisors in Oklahoma City, Oklahoma since 1995. Previous registrations include Mony Securities Corporation in New York, New York and Pruco Securities Corporation in Newark, New Jersey. He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination); Series 63 (Uniform Securities Agent State Law Examination); Series 7 (General Securities Representative Examination); and Series 6 (Investment Company Products/Variable Contracts Representative Examination). He is a registered broker and investment adviser with 16 US states and territories: Arizona, Arkansas, California, Colorado, Florida, Georgia, Illinois, Missouri, Montana, New York, Oklahoma, Oregon, South Dakota, Tennessee, Texas and Washington.
According to his BrokerCheck report, Robert Taylor has received one FINRA sanction and two customer complaints.
In July 2017 FINRA sanctioned him following allegations he “willfully failed to timely amend his Form U4 to disclose a felony charge against him and a subsequent guilty plea.” The findings also note that “Taylor has not been convicted of a felony in that his sentencing has been deferred until June 2021 pending his completion of all conditions of his supervised probation.” He was issued a fine of $5,000 and a 3-month suspension from associating with any FINRA member firm.
In 2006 a customer alleged Robert Taylor, while employed at Washington Square Securities, misrepresented and recommended an unsuitable variable annuity, breached contract, breached his fiduciary duty, and acted negligently. The complaint settled for $66,000.
In 2003 a customer alleged Robert Taylor, while employed at Washington Square Securities, breached his fiduciary duty, acted negligently, executed unauthorized trades, and made unsuitable recommendations. The complaint settled for $40,000.
If you have lost money investing with Robert Taylor, call Fitapelli Kurta at 877-238-4175 without delay. You may be entitled to recoup your losses. We accept all cases on contingency: Fitapelli Kurta only gets paid if and when you collect money. Time to file your claim may be limited by law, so we recommend you avoid delay. Call 877-238-4175 now to speak to an attorney for free.