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Investor Seeks Six Figures in Dispute with Jeremiah Taylor

Jeremiah Taylor (CRD #: 7002957), a broker registered with Charles Schwab & Company, is involved in a pending dispute, according to his BrokerCheck record, accessed on April 14, 2025. If you want to know more about his alleged conduct as a broker, read on.

Investor Dispute

On January 30, 2025, an investor named Jeremiah Taylor in allegations that he was provided incorrect information concerning Roth 401k funds to be rolled over into a Roth IRA, which allegedly caused unexpected tax liabilities and changes in the client’s income planning as well as lost tax savings.

The client alleged that this misconduct began in 2022. He seeks $250,000 in this pending dispute.

FINRA Rule 2020

FINRA Rule 2020 prohibits the use of manipulation, deception, and other fraudulent methods to influence investors’ decisions. The misrepresentation or omission of material facts relating to investments violates this rule.

FINRA Rule 2010

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

Background Information

Jeremiah Taylor has passed the following exams:

  • General Securities Representative Examination – Series 7TO
  • Securities Industry Essentials Examination – SIE
  • Uniform Combined State Law Examination – Series 66

Jeremiah Taylor is a registered broker in 50 states as well as the District of Columbia, Puerto Rico, and the Virgin Islands. He is also a registered investment adviser in Texas.

Kurta Law Can Help

If you worked with Jeremiah Taylor and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com 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 that 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. 

 

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