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Deceased Client’s Lawyers Seek $1.9 Million in Dispute with Duray Taylor

Duray Taylor (CRD #: 5013045), a broker registered with Merrill Lynch, Pierce, Fenner & Smith, is named in a pending dispute, according to his BrokerCheck record, accessed on November 16, 2022. If you have questions about his conduct as a broker, read on.

Investor Dispute

On August 19, 2022, a deceased client’s counsel alleged that UBS Financial Services, Duray Taylor, and other brokers allowed for the wrongful transfer of title to the client’s investment accounts between 2017 and 2019, resulting in misappropriation after the client’s passing.

The client’s counsel seeks $1.9 million in damages in this pending dispute.

FINRA Rule 2150

FINRA Rule 2150 prohibits the misuse and misappropriation of investors’ funds.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

Background Information

Duray Taylor has passed the following exams:

  • Series 66 – Uniform Combined State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 7 – General Securities Representative Examination
  • Series 10 – General Securities Sales Supervisor – General Module Examination
  • Series 9 – General Securities Sales Supervisor – Options Module Examination

Duray Taylor is a registered broker in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands. He is also a registered investment adviser in New Jersey and Texas.

He has also worked for the following firms:

  • UBS Financial Services (CRD#:8174)
  • J.P. Morgan Securities (CRD#:79)
  • Morgan Stanley Smith Barney (CRD#:149777)
  • Citigroup Global Markets (CRD#:7059)

Kurta Law Can Help

If you worked with Duray Taylor and you have concerns about your investments, please contact us today at 877-600-0098 or for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.