Have you lost money investing with financial advisor Robin Taliaferro from Irvine, California? Israels & Neuman is looking into claims made by FINRA, against Robin Lee Taliaferro. In July 2021, FINRA initiated an investigation into Robin Taliaferro.

The FINRA investigation was opened as a result of an SEC examination at a prior brokerage firm. FINRA had received notice of Taliaferro’s activities as a registered representative. In particular, FINRA was investigating activities while Taliaferro was registered with several firms, including Western International Securities, Sutter Securities, and Boustead Securities. Taliaferro refused to cooperate with FINRA’s investigation, so he was barred by FINRA.

Robin Taliaferro had been in the securities industry since 1972 and has been licensed with 11 different firms. He recently had been with Western International Securities from November 2013 to January 2020; with Sutter Securities from January 2020 to July 2021; with Boustead Securities from January 2020 to July 2021; and with Coastal Equities from November 2021 to July 2022. He worked in offices in Irvine and San Jose, California. Taliaferro had also previously been the subject of nine customer complaints.

FINRA rules, including Rule 3110, require brokerage firms to sufficiently supervise their representatives like Taliaferro. If the firm fails to adequately do so, it could be responsible for financial losses incurred by the representative’s customers.

Israels & Neuman is an investment fraud and securities arbitration law firm that represents investors throughout the country, including investors in California. We also have previously represented investors against Western International Securities.

View Taliaferro, Robin FINRA AWC

If you lost money with Robin Taliaferro or Western International Securities, please Contact Us at 720-599-3505 or 206-795-5798 for a free evaluation of your case.