Richard Bowers Resigns from Silverwood Partners

Richard Bowers (CRD #: 1263206), a broker formerly registered with Silverwood Partners, resigned from that firm, according to his BrokerCheck record, accessed on October 23, 2022. Keep reading if you want to know more about his conduct as a broker.

Resignation from Silverwood Partners

On September 22, 2022, Richard Bowers was permitted to resign from Silverwood Partners after allegedly committing the following violations:

• Allegedly failed to notify the firm of the imposition of a tax lien on January 7, 2020
• Allegedly failed to disclose the existence of this tax lien during annual compliance meeting and annual certification process in October 2020
• Allegedly failed to disclose this tax lien during 2021 annual compliance meeting/certification process
• Allegedly falsely stated that the tax lien had been discharged in response to FINRA audit questions in September 2022

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

Tax Lien

On January 7, 2020, Richard Bowers was subject to a $21,392.99 tax lien.

Background Information

Richard Bowers has passed the following exams:

• Series 65 – Uniform Investment Adviser Law Examination
• Series 63 – Uniform Securities Agent State Law Examination
• SIE – Securities Industry Essentials Examination
• Series 7 – General Securities Representative Examination
• Series 82 – Limited Representative-Private Securities Offerings
• Series 6 – Investment Company Products/Variable Contracts Representative Examination
• Series 24 – General Securities Principal Examination

In the past, he worked for the following firms:

• Silverwood Partners (CRD#:115589)
• Venture Partners Capital (CRD#:41463)
• MetLife Securities (CRD#:14251)
• New England Securities (CRD#:615)
• Hornor, Townsend & Kent (CRD#:4031)
• Venture Partners Capital (CRD#:41463)
• First Dunbar Securities (CRD#:17901)
• Putnam Retail Management Limited Partnership (CRD#:7325)
• Fidelity Brokerage Services (CRD#:7784)
• Fidelity Distributors Corporation (CRD#:6848)

Kurta Law Can Help

If you worked with Richard Bowers and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.