Louis Taylor Subject of Washington Regulatory Action
Louis Taylor (CRD #: 3059966), a broker formerly registered with Crown Capital Securities, was fined by the State of Washington, according to his BrokerCheck record, accessed on June 22, 2025. If you want to know more about his alleged conduct as a broker, read on.
Washington Regulatory Action
On May 6, 2025, the State of Washington alleged that he was the control person of an investment advisory firm that had violated the Washington Securities Act, and ordered him to cease and desist from violations of the Act.
Louis Taylor consented to a fine of $7,500.
FINRA Rule 2010
FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.
What are blue sky laws?
Blue sky laws are state securities regulations that provide investors with an extra layer of protection against fraud. They frequently also define the registration requirements for securities offered in the state.
Background Information
Louis Taylor has passed the following exams:
- Securities Industry Essentials Examination – SIE
- General Securities Representative Examination – Series 7
- Investment Company Products/Variable Contracts Representative Examination – Series 6
- Uniform Investment Adviser Law Examination – Series 65
- Uniform Securities Agent State Law Examination – Series 63
He previously worked for Crown Capital Securities (CRD#:6312) and First Investors Corporation (CRD#:305).
Kurta Law Can Help
If you worked with Louis 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.