Last Updated: June 2024 (Newport Beach, CA)
Zach Taylor Investigation Summary
Here’s what you need to know about Newport Beach, CA, stockbroker Zachary E. Taylor:
- Name: Mr. Zachary E. Taylor
- DBA: 9Dot Wealth
- Current Employer: Not currently registered with FINRA
- Previous Firms: Saxony Securities Inc., Oppenheimer & Co., Bank of America, Merrill Lynch Pierce Fenner & Smith
- Function: Stock Broker/ Financial Advisor/Registered Investment Advisor
- Aliases: Zach Taylor
- Primary Location: Newport Beach, CA
- CRD 6074776
- Can Zach Taylor be sued in FINRA arbitration: Yes
- Sanctioned by FINRA: No
- Discharged by former employer: Yes
- Pending Customer Dispute Seeks Damages of $426,000
Discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Zach Taylor As Your Stockbroker?
In 2024 a customer of Oppenheimer & Co. filed a FINRA arbitration alleging that Zach Taylor made unauthorized trades, unsuitable investment recommendations and violated FINRA rules and state securities and elder abuse law. The customer is seeking damages of $426,000 in this currently pending matter.
In 2023 another Oppenheimer customer filed a FINRA arbitration alleging that Zach Taylor violated consumer protection law and made unauthorized trades. Damages of between $100,000-$500,000 are sought in this pending case.
Other Cases Involving Unauthorized Trading
Discretionary vs. Non-Discretionary Accounts
In 5/2023 Zach Taylor was discharged by Oppenheimer & Co. who make the following allegation on his FINRA CRD: “Was unable to provide sufficient documentary evidence to support his contention that he had authority for all trades in client’s account.”
Allegations of Broker Misconduct Against Zach Taylor
Customers of Zach Taylor have alleged the following wrongdoing in connection with the handling of customer accounts:
- Unsuitable Investment Recommendations
- Unauthorized trading
- Elder abuse
- Violations of consumer protection law
- Breach of fiduciary duty
- Negligence
- Breach of contract
- Options trading
Information on Elder Financial Abuse
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
Recover Your Investment Losses Now With Rex Securities Law
Investigations of other Saxony Securities Brokers
If you have suffered investment losses in an account handled by Zach Taylor, contact us for a complimentary consultation with an experience securities lawyer to learn how you may be able to recover damages through FINRA arbitration.
With offices in Boca Raton, FL and Austin, TX, stockbroker fraud attorney Bob Rex provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers, financial advisors and broker dealers.
If you have questions about how your account has been handled, call (877) 224-3199 to speak with an experienced securities attorney at no cost to you.
Most cases are handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.