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 away from his firm. In the Matter of Mark Gregory Raezer Case No. 2018-CDS-003 (Jan. 31 2018).

According to the Order, between March and April of 2017, during which time Raezer was associated with Taylor Capital Management, Inc., he partook in the sale of securities in a real estate development firm, Madyson Capital Management. Evidently, his Madyson Capital Management securities sales were never made known to Taylor Capital Management. Consequently, the transactions were neither authorized by the firm, nor were they placed on Taylor Capital Management’s records or books. The Securities Commissioner for the State of Colorado found Raezer’s conduct to be violative of Colorado Division of Securities Rule 51-4.7(F).

Apparently, Madyson Investments securities were not exempt from registration with Colorado Division of Securities, and they had not been appropriately registered. Additionally, the Order stated that Madyson Capital Management and owner Joseph David Ryan became subject of an investigation, where Colorado Division of Securities discovered that Ryan never indicated the purpose of accumulating funds from investors, and had used investors’ funds to take care of his personal expenses.

Ryan reportedly effected more than thirteen million dollars in securities sales for seventy-eight residents of Colorado, and the majority of those investors funded their investments with money from their individual retirement accounts after having been promised that they would assume low risk and enjoy high investment returns by investing in the Madyson Investments. Apparently; however, most of investors’ funds were lost or unable to be liquidated. Evidently, a receiver has been appointed to control the Madyson Investments.

On January 17, 2018, Raezer was terminated from Taylor Capital Management, Inc. founded on accusations that Raezer was facing charges from Colorado Division of Securities for engaging in unapproved private securities transactions.

The information contained herein has been obtained from reliable sources however may not be accurate and is not guaranteed by us. Readers are encouraged to undertake their own independent investigation and evaluation of the relevant facts. All claims and allegations are subject to adjudication, decisions may be subject to appeal, and no inference is intended, nor should any inference be made from any information contained herein from any source.

This posting and the information on our website is for general information purposes only. This content should be not considered legal advice, and any responses, comments, e-mails, other communications do not form any attorney client relationship. Attorney Advertisement. See Important Disclaimer

Guiliano Law Group

Our practice is limited to the representation of investors. We accept representation on a contingent fee basis, meaning there is no cost to you unless we make a recovery for you. There is never any charge for a consultation or an evaluation of your claim. For more information, contact us at (877) SEC-ATTY.

For more information concerning common claims against stockbrokers and investment professionals, please visit us at securitiesarbitrations.com

To learn more about FINRA Securities Arbitration, and the legal process, please visit us at securitiesarbitrations.com

Tags: ,

No comments yet.

Leave a Reply

Name (required)

Email (will not be published) (required)

Website