Tyler Woodward, formerly with MML Investors Services, Subject of FINRA Complaint
Have you lost money with financial advisor Tyler Woodward of Colorado Springs, Colorado? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Tyler James Woodward. FINRA seeks to bar 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 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 represented over one thousand investors against many brokerage firms in the past, including MML Investors Services, such as in the Phil Williamson Ponzi scheme.
Click to view: Woodward, Tyler FINRA Complaint
Click to view: Woodward, Tyler BrokerCheck 10.5.18
If you lost money with Tyler Woodward, Precision Financial Research or MML Investors Services, please CONTACT US at 720-599-3505 for a free evaluation of your case.