Broker Investigation: Dennis Farrah

Dennis Farrah (CRD#: 2703960) is a former FINRA broker. From 2013 to 2017, Mr. Farrah was employed at Taylor Capital Management in Aurora, Colorado. On June 18th, 2018, FINRA barred Mr. Farrah from the securities industry.

According to FINRA, Dennis Farrah failed to provide documentation and information requested by investigators. This is a violation of FINRA Rule 8210. Here, our investors’ rights lawyers review the customer disputes that were filed against this broker and that prompted the investigation.

Investor Complaints: Dennis Farrah

On December 8th, 2017, Mr. Farrah was separated from his position at Taylor Capital Management. This happened after allegations arose indicating that Mr. Farrah was selling away. According to the allegations, Mr. Farrah was offering short-term real estate notes without disclosing his conduct or seeking the required approval from his member firm. Specifically, customers were being sold shares of an investment fund called Madysen Capital Management, LLC. Since that time, four customer complaints have been filed against this broker. All four of the complaints are still listed as ‘pending’ by FINRA.

 

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At Sonn Law Group, we represent wronged investors throughout the United States and North America. If you were the victim of fraud or negligence, please contact our law office today for a free review of your legal claim.

Disclaimer: This article contains opinions and NOT statements of fact in any way whatsoever. The information here is general information that should not be taken as legal advice. NO attorney-client relationship is established between you and our attorneys by reading this article. This article is attorney advertising and should not be used as a substitute for legal advice from a qualified securities lawyer.

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