DANIEL RICHARD GARVIN is currently employed as a Broker and/or Investment Adviser at TAYLOR CAPITAL MANAGEMENT INC. located at 280 Heritage Walk, Woodstock, GA, 30189.
DANIEL RICHARD GARVIN has worked at TAYLOR CAPITAL MANAGEMENT INC. since May 12, 2016
Disclosure History
DANIEL RICHARD GARVIN has 2 Disclosure Event(s).
Date: October 25, 2013 Category: Financial Type: Bankruptcy Disposition: Discharged
Date: December 01, 2011 Category: Customer Dispute Allegations: THE CUSTOMERS ALLEGE THAT I MADE UNSUITABLE INVESTMENT RECOMMENDATIONS AND OVERLY CONCENTRATED THE CUSTOMERS' ACCOUNTS IN ILLIQUID, NON-PUBLICLY TRADED REITS AND DIRECT INVESTMENTS. Damage Amount Requested: $50,000.00 Damages Granted: $40,000.00 Broker Comment: NEXT SETTLED THE ARBITRATION WITH THE CLIENTS AS OF 06/03/13, AND THE ARBITRATION FOUND IN FAVOR OF THE CLIENT - THE CLIENTS' PRIMARY GOAL WAS FOR INCOME AND THEY DID NOT WANT THE VOLATILITY OF THE STOCK MARKET. INTEREST RATES WERE LOW AT THE TIME AND THE DISTRIBUTIONS FROM THE REITS PROVIDED THEM WITH THE DESIRED INCOME. AT THE TIME THE LACK OF LIQUIDITY WAS NOT A CONCERN TO THEM AS LONG AS THEY RECIEVED THE DISTRIBUTIONS WHICH THEY USED FOR INCOME AS NEEDED.
More Information
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