MARYLAN KATHERINE TAYLOR

04/28/2005: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, vs. MARYLAN TAYLOR Registered Representative (CRD No. 2263196), Respondent. Disciplinary Proceeding No. C8A050027 Hearing Officer COMPLAINT Upon information and belief, Complainant alleges as follows: 1. Marylan Taylor ("Taylor") entered the securities industry in November 2000 as an Investment Company Products/Variable Contracts Representative with a member of NASD. On March 18, 2005, Taylor was terminated from an NASD member and is

12/30/2005: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. MARYLAN TAYLOR (CRD No. 2263196) Respondent. Disciplinary Proceeding No. C8A050027 Hearing Officer - AWH HEARING PANEL DECISION December 30, 2005 Formerly registered representative barred for falsifying documents, in violation of NASD Conduct Rule 2110, and providing false testimony in an on-the-record interview, in violation of NASD Procedural Rule 8210 and Conduct Rule 2110. In light of the bars, no further sanctions are imposed

02/27/2007: BEFORE THE NATIONAL ADJUDICATORY COUNCIL NASD In the Matter of Department of Enforcement, Complainant, vs. Marylan Taylor Aurora, OH, Respondent. DECISION Complaint No. C8A050027 Dated: February 27, 2007 Respondent falsified a document that she submitted to Ohio state insurance regulators, failed timely to update her Form U4, and provided false testimony to NASD in an on-the-record interview. Held, findings and sanctions modified. Appearances For the Complainant: UnBo Chung, Esq., Marcletta Kerr, Esq., and

Reference C8A050027data-portal.finra.orgdata-portal.finra.orgfinra.orgdata-portal.finra.org