Oppenheimer | New York Criminal & Securities Attorney

Zachary Ellis Taylor Suspended from Securities Industry by FINRA Unsuitable Recommendations

Zachary Ellis Taylor Suspended from Securities Industry by FINRA Unsuitable Recommendations

Kevin J. Deloatch, Esq.2025-09-19T14:36:51-05:00September 19th, 2025|FINRA - Broker Actions, Fraud, Securities Law, Unsuitability|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor Zachary Ellis Taylor (CRD # 6074776) was recently suspended from the securities industry [...]

Dennis Ayer Barred from Securities Industry by FINRA After Suitability Investigation

Dennis Ayer Barred from Securities Industry by FINRA After Suitability Investigation

Kevin J. Deloatch, Esq.2022-01-30T10:42:22-05:00January 30th, 2022|FINRA - Broker Actions, Fraud, Securities Law, Unsuitability|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Dennis Ayer (CRD # 5365176) was recently barred from the securities industry by FINRA’s [...]