Cory Williams, formerly of Taylor Capital Management, Subject of Arizona Securities Complaint

Have you lost money with financial advisor, Cory Williams of Mesa, Arizona?  We are continuing our investigation into allegations made against Cory Williams.  The Arizona Corporation Commission alleged that Williams raised $13 million from 40 investors between March 2014 and November 2016 to invest in a pooled investment vehicle trading in E-Mini S&P 500 futures.  Williams lost $8 million through this trading but instead told investors that they were making a profit, and he also used $800,000 for personal use.  Arizona seeks to bar Williams from the securities industry.

Cory Williams was a financial advisor and registered representative of Taylor Capital Management from May 2011 to November 2015.  He worked at a branch office in Mesa, Arizona.  Williams also operated a company called Williams Advisory Group.

Brokerage firms like Taylor Capital Management have a responsibility to adequately supervise all representatives who are registered through their firm.  Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies.  When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.

Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado and Seattle, Washington.  We represent investors in FINRA arbitration proceedings in all 50 states, including investors throughout Arizona and the Phoenix area.  Attorney Aaron Israels is licensed to practice law in Arizona, and our firm will soon open an office in the Phoenix area.  Our attorneys have represented over one thousand investors against many brokerage firms in the past, including against Taylor Capital Management.

Click to view:  Williams, Cory Arizona Complaint

Click to view:  Williams, Cory BrokerCheck 7.18.18

If you lost money with Cory Williams or Taylor Capital Management, please CONTACT US at 720-599-3505 for a free evaluation of your case.

Israels & Neuman, PLC is a private law firm and is not affiliated with any government or law enforcement agency.  Any investigation referenced in this blog is independent in nature and is being conducted by our law firm privately, not in conjunction with any government or law enforcement agency.  All information contained in this blog should be deemed statements of opinion derived from the author’s review of public records, not statements of fact.  This blog is advertising material and does not create an attorney client relationship, nor does it constitute legal advice.  Everyone’s situation is different and the question of whether or not you have a claim will vary on a case-by-case basis.  In contingent representation, clients may still be liable for costs.