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UPDATE! TYLER WOODWARD of MML Investors Barred by FINRA

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15
Mar

UPDATE! TYLER WOODWARD of MML Investors Barred by FINRA

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UPDATE!  TYLER WOODWARD of MML Investors Barred by FINRA

Have you invested with financial advisor Tyler Woodward of MML Investors Services in Colorado Springs, Colorado?

 

We are continuing our investigation into allegations made by FINRA, the Financial Industry Regulatory Authority, against Tyler James Woodward. In March 2019, FINRA barred Woodward from the securities industry after he failed to respond to a FINRA investigation.  FINRA was investigating Woodward after eight customers made complaints against Woodward, including allegations of conversion or theft.

 

FINRA alleges that Woodward persuaded one customer to transfer $117,000 to Woodward’s company, Precision Financial Research and Management.  Precision Financial Research is not a registered brokerage firm.

 

Tyler Woodward was a financial advisor and registered representative of MML Investors Services from November 2013 to October 2016.  He worked at a branch office in Colorado Springs, Colorado.  Woodward is the owner of Precision Financial Research and Management.

 

Brokerage firms like MML Investors Services have a responsibility to adequately supervise all representatives who are registered through their firm.  Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies.  When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.

 

Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado; Ann Arbor, Michigan; and Seattle, Washington.  We represent investors in FINRA arbitration proceedings in all 50 states, including investors throughout Colorado and Colorado Springs.  Attorney Aaron Israels in licensed to practice law in Colorado and can meet our clients in-person throughout the state.  Our attorneys have recovered millions of dollars for investors against many brokerage firms in the past, including MML Investors Services, such as in the Phil Williamson Ponzi scheme.

 

Click to view:  Tyler Woodward BrokerCheck

Click to view:  FINRA Order

Click to view:  FINRA Complaint

 

If you lost money with Tyler Woodward or MML Investors Services, please CONTACT US at 720-599-3505 for a free evaluation of your case.

 

Israels & Neuman, PLC is a private law firm and is not affiliated with any government or law enforcement agency. Any investigation referenced in this blog is independent in nature and is being conducted by our law firm privately, not in conjunction with any government or law enforcement agency. All information contained in this blog should be deemed statements of opinion derived from the author’s review of public records, not statements of fact. This blog is advertising material and does not create an attorney client relationship, nor does it constitute legal advice. Everyone’s situation is different and the question of whether or not you have a claim will vary on a case-by-case basis. In contingent representation, clients may still be liable for costs.
10.0David P Neuman

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