Stoltmann Law Offices is investigating Tyler Boone Powell, a broker with Stifel, Nicolaus & Co. He recently entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) in which he was fined $5,000 and suspended from the industry for 15 business days. Powell allegedly exercised discretion in a customer’s account without obtaining the customer’s prior written authorization and without the authorization of his firm, Wells Fargo. This is against securities rules and regulations. Powell was registered with A.G. Edwards & Sons in Santa Barbara, California from October 2007 until January 2008 and Wells Fargo in Montecito, California from January 2008 until August 2014. He is currently registered with Stifel, Nicolaus & Co. in Santa Barbara and has been since August 2014. He has one customer dispute against him. If you invested and lost money with Tyler Boone Powell, his former firm, Wells Fargo, may be responsible for your investment losses. Please call our Chicago-based securities law firm at 312-332-4200 for a free consultation with an attorney. There is no obligation and we sue firms such as Wells Fargo in the FINRA arbitration process in order to recover money for investors who have suffered losses. We take cases on a contingency fee basis only, so we make money only if you recover. Please call soon.
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