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Taylor Powell Of DFPG Investments And Formerly With Wells Fargo Clearing Services Has A Customer Complaint For Alleged Broker Misconduct

Who is Taylor Powell of DFPG Investments?

Taylor Powell (CRD #6905961) who is currently registered with DFPG Investments and located in Sandy, Utah is a subject of one of our many securities industry sales practice abuse investigations. Prior to DFPG Investments, Taylor Powell was associated with Wells Fargo Clearing Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Taylor Powell Customer Complaint

Taylor Powell has been the subject of at least one customer complaint that we know about. The allegations made in the FINRA reported customer complaint for investment losses were Arbitration: claimant alleged that the registered rep, Taylor Powell caused securities to be sold against his instructions. Complaint: client alleged he requested a sell stop order be placed, but a sell limit order was instead placed and subsequently executed. Taylor Powell’s customer complaint was settled in favor of the investors.

Taylor Powell Red Flags & Your Rights As An Investor

Of course, Taylor Powell did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Taylor Powell at DFPG Investments and Wells Fargo Clearing Services on alert to review carefully the activity and performance of their accounts and question whether Taylor Powell has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at DFPG Investments and Wells Fargo Clearing Services also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.

File A Claim To Recover Your Investment Losses At DFPG Investments Due To Taylor Powell

If you have questions about DFPG Investments, Wells Fargo Clearing Services, and/or Taylor Powell and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Robert Wayne Pearce

Robert Wayne Pearce of The Law Offices of Robert Wayne Pearce, P.A. has been a trial attorney for more than 40 years and has helped recover over $170 million dollars for his clients. During that time, he developed a well-respected and highly accomplished legal career representing investors and brokers in disputes with one another and the government and industry regulators. To speak with Attorney Pearce, call (800) 732-2889 or Contact Us online for a FREE INITIAL CONSULTATION with Attorney Pearce about your case.

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