FINRA Bars Robin Taliaferro, Irvine, CA, for Failure to Provide Information in its Investigation  

According to public documents, on July 15, 2022 the Financial Industry Regulatory Authority (FINRA) barred financial advisor Robin Taliaferro (CRD #442144) from working in the securities industry.  

In July 2021, FINRA began investigating Taliaferro to determine whether he engaged in any “sales practice violations” during his associations with Western International, Sutter Securities, and Boustead Securities. On May 24, 2022, FINRA reportedly sent a request to Taliaferro for information and documents. Taliaferro reportedly acknowledges that he received FINRA’s request and allegedly refused to provide the information, according to a Letter of Acceptance, Waiver and Consent.  

According to Taliaferro’s FINRA BrokerCheck report, he was affiliated with the following California firms during his career, among others:  

  11/11/2021 – 07/12/2022, COASTAL EQUITIES, INC. (CRD#:23769), SOLVANG, CA,   

01/29/2020 – 07/27/2021, BOUSTEAD SECURITIES, LLC (CRD#:141391), IRVINE, CA  

01/29/2020 – 07/27/2021, SUTTER SECURITIES INCORPORATED (CRD#:30770), IRVINE, CA  

11/22/2013 – 01/29/2020, WESTERN INTERNATIONAL SECURITIES, INC. (CRD#:39262), San Jose, CA  

Taliaferro reportedly has a history of misconduct, including one employment separation, 2 regulatory events and 9 customer complaints. Allegations include misrepresentation, unsuitability, among others.  

Filing a Complaint against your Brokerage Firm   

The White Law Group is investigating potential securities claims involving financial advisor Robin Taliaferro and the liability his employers may have for failure to properly supervise him.    

When brokers abuse client accounts and conduct transactions that violate securities laws, the brokerage firm they are working with may be liable for investment losses. Brokerage firms that fail to monitor the business activities of their employees may be liable for investment losses due to negligent supervision for the misconduct of their employees.   

The brokerage firms can be held responsible for any losses in a FINRA arbitration claim if it is determined that they failed to properly supervise their agent.   

If you are concerned about investments with Robin Taliaferro, the securities attorneys at The White Law Group may be able to help you. For a free consultation with an attorney, please call (888) 637-5510.   

The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Seattle Washington. For more information, please visit our website, www.whitesecuritieslaw.com.