Mark Gregory Raezer, Ex-Taylor Capital Broker, Suspended for Selling Away

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A Colorado Department of Regulatory Agencies (DORA) press release announced the state’s Division of Securities suspended Mark Gregory Raezer on January 31, 2018 for allegedly soliciting and selling unregistered securities of a company used to defraud at least 78 Colorado residents.

At the time he sold the investments, Raezer was registered with brokerage firm Taylor Capital Management Inc. (a/k/a TCM Securities, Inc.) and worked out of an Aurora, Colorado office.

The press release states Raezer and a fellow TCM broker, Dennis Mitchell Farrah, allegedly sold securities for real estate development companies Madyson Investments.  The securities were never registered with the Colorado Division of Securities, despite not being exempt from registration requirements.

Madyson Investments was owned by Joseph David Ryan, who the Department of Securities contends defrauded investors by using Madyson Investments funds to pay for personal expenses.  A Denver court ordered an injunction to freeze the assets of Madyson Investments and appointed a receiver to control them.

According to DORA, TCM did not approve Raezer to sell Madyson Investments to his clients and he did not record the sales in TCM’s records.

Mark Raezer was registered with TCM Securities, Inc. from February 2015 through January 2018.  TCM publicly disclosed that it permitted Raezer to resign on January 17, 2018 after it was advised the Colorado Department of Securities was prepared to file charges against Raezer for “selling away.”

Selling away is a securities violation that involves a broker selling securities that their brokerage firm has not approved for sale.  Firms have a duty to reasonably supervise their brokers to prevent them from committing violations such as selling away.

If you suffered losses while investing with Mark Raezer, Marquardt law Office LLC, you may have a claim for your losses caused by selling away or other misconduct.  Contact the firm for a free, no obligation evaluation.

Marquardt Law Office LLC is a securities law firm located in Chicago, IL that represents clients nationwide in FINRA arbitration who have suffered losses due to fraud or negligence.

Adam J. Marquardt

Adam Marquardt represents investors in securities litigation claims such as unsuitable investments, negligence, and fraud. He is dedicated to recovering financial losses for investors, primarily through FINRA arbitration. Adam’s background includes experience as a FINRA regulator, an accountant and auditor, and an attorney who recovered $8 million litigating cases involving fraudulent financial practices. Adam previously passed the Certified Public Accountant (CPA) exam and is an attorney licensed in Illinois.

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