Tag Archives: Taylor Capital Management Inc.

TCM Stockbroker Sanctioned In Ponzi Scheme

February 16, 2021  |   Posted by :   |   FINRA Securities Arbitration, Investment and Regulatory News, Non-traded REITs, Ponzi Schemes   |   Comments Off on TCM Stockbroker Sanctioned In Ponzi Scheme

Michael August Pellegrino of Oakbrook Terrace Illinois a stockbroker formerly registered with Taylor Capital Management Inc. (TCM) has been fined $10,000.00 and suspended for two months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that he provided misleading information to investors concerning short-term high-yield contracts. Letter of […]

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TCM Stockbroker Barred By FINRA In Investigation

James Hal Heafner of Charlotte North Carolina a stockbroker formerly registered with Taylor Capital Management Inc. (now known as TCM Securities Inc.) has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that Heafner neglected to cooperate with FINRA during the time in which he was […]

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TCM Stockbroker Caught Selling Away

Mark Gregory Raezer of Aurora Colorado a stockbroker formerly employed by Taylor Capital Management Inc. has been fined $15,000.00 and suspended for ten months from associating with any FINRA member in any capacity supported by accusations that Raezer engaged in private securities transactions during the time he was employed by the firm. Letter of Acceptance, […]

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Investors Sue TCM Securities For Massive Bond Fraud

James Hal Heafner (also known as Jim Heafner) of Charlotte North Carolina a stockbroker formerly registered with Taylor Capital Management Inc and former investment adviser representative of Retirement Wealth Advisors is the subject of a customer initiated investment related arbitration claim in which the customer requested $268,015.79 in damages founded on allegations that (1) inappropriate […]

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TCM Blamed By Investor For Misrepresentation

Dean Robert Nowak of Winter Park Florida a stockbroker currently registered with Taylor Capital Management Inc. is referenced in a customer initiated investment related written complaint on September 11, 2018 in which the customer sought $6,000.00 in damages supported by accusations that (1) Nowak placed the customer in stocks and annuity investments that were not […]

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Taylor Capital Broker Suspended For Selling Away

March 07, 2018  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

Mark Gregory Raezer of Aurora Colorado is a former registered representative of Taylor Capital Management Inc. who has been suspended for sixty days from effecting securities transactions or providing investment advice to customers according to a Stipulation and Consent Order issued by the Securities Commissioner for the State of Colorado containing findings that Raezer sold […]

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