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Detailed Report
MICHAEL JEFFREY TALIN
MICHAEL TALIN
CRD#: 3121059
IA
Previous Investment Adviser
B
Previous Broker
BARRED BY FINRA OR THE SEC
FINRA has barred this individual from acting as a broker or otherwise associating with a broker-dealer firm.
The representative was previously registered both as an investment adviser and as a broker. Visit BrokerCheck for more information on this individual's Broker record. Go to BrokerCheck Site
Registration History
2004200620082010201220142016IAWOODBURY FINANCIAL SERVICES, INC. (CRD# 421)2003 - 2015 (12 years)
Disclosure(s)
View By:
9/28/2016
Criminal
Final Disposition
7/28/2015
Regulatory
Final
5/21/2015
Employment Separation After Allegations
5/11/2015
Customer Dispute
Settled
4/17/2015
Customer Dispute
Pending
9/23/2013
Judgment / Lien
9/9/2010
Judgment / Lien
4/14/2009
Customer Dispute
Settled
8/14/2008
Judgment / Lien
3/12/2008
Judgment / Lien
1/29/2008
Judgment / Lien
3/22/2007
Judgment / Lien
6/28/2006
Judgment / Lien
Previous Registration(s)
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IA
 05/14/2003 - 05/21/2015 WOODBURY FINANCIAL SERVICES, INC. (CRD#:421) SEAL BEACH, CA
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B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
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.