Who is Jon Clayton Taylor, III?
Table of Contents
- Full Name: Jon Clayton Taylor, III
- CRD Number: 7290665
- Current Firm: Osaic Wealth, Inc. (affiliated since October 2020)
- Other Affiliations: Platinum Wealth Solutions of Texas, LLC (fixed insurance sales)
- Location: San Antonio, TX
- Registration: Registered as both a stockbroker and investment adviser representative
Haselkorn & Thibaut, a national investment fraud law firm with over 50 years of combined experience and a 98% success rate, is investigating Jon Taylor and his activities at Osaic Wealth on behalf of investors who sustained damages or suspect misconduct.
Recent Customer Complaint Against Jon Taylor
November 2025: An investor filed a formal complaint alleging:
- Unauthorized trading in an equity position
- Misrepresentation related to a variable universal life insurance policy
- Total Damages: Specific amount not yet disclosed
- Case Status: Publicly reported, currently unresolved
If you experienced similar issues, you may have the right to pursue recovery through FINRA arbitration.
Understanding the Allegations: Terms and Relevance for Investors
| Allegation/Issue | Explanation | Why It Matters |
|---|---|---|
| Unauthorized Trading | Trading executed in your account without your prior approval or consent, violating FINRA Rule 3260. | Your broker must have explicit permission for each transaction unless you have given them written discretionary authority. |
| Misrepresentation | Providing misleading or incomplete information about an investment product or strategy. | May result in unsuitable investments or unexpected financial losses for the investor. |
| Breach of Best-Interest Obligations | Advisors must act in the client’s best interests under standards such as FINRA Rule 2111 (Suitability) and SEC Regulation Best Interest (Reg BI). | Failure to adhere exposes clients to unnecessary or inappropriate risk. |
Regulatory History and Public Disclosures
As of the most recent updates from public databases (including FINRA BrokerCheck):
- Regulatory Actions: None reported
- Customer Complaints/Arbitrations: Only the November 2025 complaint, specifics not yet public
- Civil Lawsuits: No federal or state court cases found naming Mr. Taylor
- SEC or State Regulatory Proceedings: None found
- Bankruptcies: None found
This means aside from the most recent customer dispute, there is no public record of prior regulatory actions or formal complaints against Mr. Taylor. However, allegations of unauthorized transactions and misrepresentation are serious warning signs that affected investors should not ignore.
Why Investors Should Take These Allegations Seriously
- Unauthorized trading violates your rights as an account holder and may lead to unexpected losses.
- Misrepresentation of insurance and investment products could impact your financial planning, especially if the recommendations did not suit your needs or risk tolerance.
- Breach of fiduciary duties calls into question whether your financial interests were placed first.
If you believe you lost money with Jon Taylor or Osaic Wealth, or suspect your investments were not handled properly, it is essential to get a second opinion from a qualified investment fraud attorney.
Your Options: How Haselkorn & Thibaut Can Help
Haselkorn & Thibaut (investmentfraudlawyers.com) represent investors nationwide, recovering millions of dollars for clients harmed by stockbroker negligence, misrepresentation, and other forms of misconduct. With their no recovery, no fee policy, you risk nothing by reaching out.
- Free, confidential consultation for all Osaic Wealth and Jon Taylor clients
- Cases are handled on a contingent-fee basis: you pay nothing unless funds are recovered
- Over 50 years of combined experience and a track record of results for investors
Take Action Now – Protect Your Rights
If you are a client of Jon Clayton Taylor, III or Osaic Wealth in San Antonio, TX and have experienced unauthorized trading, product misrepresentation, or suspect your portfolio was mishandled, don’t wait.
Connect with a seasoned investment fraud attorney at Haselkorn & Thibaut for a free case evaluation. Dial 1-888-885-7162 today to discuss your potential claim—there is no cost and no obligation.
Your financial future is too important to leave to chance. Qualified guidance can mean the difference between recovering your losses or missing the opportunity. Let Haselkorn & Thibaut help you explore all of your options.
