DEBRA HELEN TAYLOR is currently employed as a Broker and/or Investment Adviser at CETERA ADVISOR NETWORKS LLC located at 795 FRANKLIN AVENUE, BLDG C, STE 202, FRANKLIN LAKES, NJ, 07417.
DEBRA HELEN TAYLOR has worked at CETERA ADVISOR NETWORKS LLC since January 17, 2017
Disclosure History
DEBRA HELEN TAYLOR has 1 Disclosure Event(s).
Date: July 27, 2012 Category: Customer Dispute Allegations: ALLEGES BREACH OF FIDUCIARY DUTY AND CONFLICT OF INTEREST IN CONNECTION WITH ADVICE PROVIDED REGARDING THE OWNERSHIP INTERESTS AND CLIENT'S ROLE AS A PARTNER IN THE SUBJECT COMMERICAL REAL ESTATE TRANSACTION THAT CLOSED IN 2009. Broker Comment: THIS MATTER INVOLVED A COMMERCIAL REAL ESTATE TRANSACTION THAT CLOSED IN 2009. THE ALLEGATIONS FOCUSED ON MY ROLE IN THE TRANSACTION AND THE ROLES OF THE PROFESSIONALS AND ATTORNEYS, WHO WERE INDEPENDENT OF MYSELF AND RETAINED BY THE PLAINTIFFS, AND WHO STRUCTURED THE TRANSACTION. THIS MATTER DID NOT INVOLVE MY SECURITIES/INVESTMENT ADVISORY BUSINESS, NOR DID THE COMPLAINT ALLEGE THAT I VIOLATED ANY SECURITIES LAWS OR REGULATIONS. AFTER AN EVIDENTIARY HEARING, THE JUDGE DETERMINED THAT I HAD AN ATTORNEY-CLIENT RELATIONSHIP WITH THE PLAINTIFFS (IN ADDITION TO BEING AN INVESTOR IN THIS REAL ESTATE TRANSACTION) AND THAT THE OPERATING AGREEMENTS DID NOT REFLECT WHAT WAS AGREED UPON AND INTENDED. THE COURT DETERMINED THAT I COULD NO LONGER BE A PARTY TO THE REAL ESTATE TRANSACTION AS AN INVESTOR, AND ORDERED THE RETURN OF MY INVESTMENT MONIES TO ME. THIS MATTER IS THE SUBJECT OF AN APPEAL.
More Information
All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.
A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.
BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.
To view the full report for DEBRA HELEN TAYLOR, click here.
The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.
×
Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
×
BrokerSearch Removal
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.