Taylor Barden Allegedly Subjected an Investor to Fees that Were Not in His Best Interest

Taylor Barden (CRD #: 4323859), a broker registered with Rockefeller Financial, is the subject of an investor dispute. This is according to his BrokerCheck record, accessed on August 12, 2024. Keep reading if you have questions. 

Investor Allegations 

On July 9, 2024, an investor alleged that Taylor Barden maintained a balance of funds in cash equivalents in his managed account that was subject to advisory fees. He alleged that this balance of funds was not in his best interest. 

Regulation Best Interest

Regulation Best Interest (Reg-BI) is an SEC regulation that requires brokerage firms to put their clients’ best interests first. For example, firms must conduct reasonable due diligence when researching investments to ensure their recommendations are suitable for the investor.

Background Information 

Taylor Barden has passed the following exams: 

• Series 66 Uniform Combined State Law Examination
• SIE – Securities Industry Essentials Examination 
• Series 31 Futures Managed Funds Examination 
• Series 7 General Securities Representative Examination 

He is a registered broker in 40 states, D.C., and Puerto Rico. He is a registered investment advisor in North Carolina and Texas. 

During his 22 years of experience, Taylor Barden has registered with the following firms: 

• Rockefeller Financial (CRD #: 291361) 
• Morgan Stanley (CRD #: 149777) 
• Morgan Stanley & Co. (CRD #: 8209) 
• Morgan Stanley DW (CRD #: 7556) 
• UBS Financial Services (CRD #: 8174) 

Kurta Law Can Help 

If you worked with Taylor Barden and have concerns about your investments, do not hesitate to contact us at 877-600-0098 or email info@kurtalawfirm.com for a free consultation. 

For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. Do not let securities fraud go unchecked. Start your recovery process today.