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CUSTOMERS ALLEGE FA FAILED TO DISCLOSE CERTAIN INFORMATION REGARDING THEIR INVESTMENTS. CUSTOMERS ALLEGE UNSPECIFIED DAMAGES.
Broker Comment
WITHOUT ADMITTING WRONGDOING, TAYLOR WILL UNDERTAKE ADDITIONAL STEPS IN THE FUTURE TO MEMORIALIZE THAT FEE DISCLOSURES HAVE BEEN MADE WHEN DEALING WITH ERISA PLAN FIDUCIARIES. PRIOR TO ANY INVESTMENT OR TRANSACTION BY A FIDUCIARY OF AN ERISA PLAN INVOLVING A MANAGED FUTURES FUND OR COMMODITY POOL FOR WHICH RESPONDENTS WILL RECEIVE COMMISIONS, TAYLOR WILL REVIEW WITH THE ERISA PLAN FIDICUIARY THE DESCRIPION OF THE INVESTMENT OR TANSACTION AND THE DESCRIPTION OF THE COMPENSATION AND FEES RECEIVED BY RESPONDENT AS OUTLINED IN OFFERING MEMORANDUM AND
SUBSCRIPTION AGREEMENT AND WILL MEMORIZLIZE THAT SUCH DISCUSSIONS OCCURRED IN WRITING AND INDENTIFY THE DATE DISCLOUSRES WERE MADE AND TO WHOM.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.