South Florida Arbitration & Litigation Lawyer Blog
Plantation, Florida FINRA Securities Fraud and Misrepresentation Arbitration Attorney, Russell L. Forkey, Esq.
May, 2011 – Complaint:
FINRA issued the following complaints. Issuance of a disciplinary complaint represents FINRA’s initiation of a formal proceeding in which findings as to the allegations in the complaint have not been made, and does not represent a decision as to any of the allegations contained in the complaint. Because these complaints are unadjudicated, you may wish to contact the respondents before drawing any conclusions regarding the allegations in the complaint.
Evan Taber (CRD #1892751, Registered Representative, Plantation, Florida, formerly licensed with Aura Financial Services, Inc.) was named as a respondent in a FINRA complaint alleging that he initiated discussion with an individual regarding an investment with a guaranteed return, instructed the individual to issue a check to a company which was the name he had given to a personal bank account, and did not tell the individual that the funds would be used for personal and home office exenses. The complaint alleges that the individual provided Taber with a $30,000 check for investment, which he deposited into the checking account, and did not make an investment of any kind for the individual. The complaint also alleges that the individual repeatedly called Taber to determine the status of the investment and Taber reassured the individual that the money had been invested. The complaint further alleges that Taber did not refund the money until after FINRA had begun its investigation into the individual’s complaint. (FINRA Case #2010021196801).
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