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Investor Alleges Tyler Nace Misappropriated Funds

Jun 6, 2022 FINRA Arbitration

Tyler Nace (CRD #: 4766127), a broker registered with Raymond James Financial Services, was involved in a recent dispute, according to his BrokerCheck record, accessed on May 29, 2022. Keep reading to learn more about Tyler Nace’s conduct as a broker.

Alleged Misappropriation

On February 16, 2022, an investor filed a dispute alleging Tyler Nace misappropriated funds. They sought $130,000 in damages but the dispute was denied by the firm.

Investors should be aware, however, that firms can deny disputes without allowing an external review. FINRA arbitration is still an option for investors who have their disputes denied.

FINRA Rule 2150

FINRA Rule 2150 forbids FINRA members from wrongfully using investors’ securities or funds.

Background Information

Tyler Nace has passed the following exams:

  • Series 66 – Uniform Combined State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 7 – General Securities Representative Examination

Tyler Nace is a registered broker in 26 states and a registered investment adviser in Texas.

He has also worked for Raymond James Financial Services Advisors (CRD#:149018) and Morgan Keegan & Company (CRD#:4161).

Kurta Law Can Help

If you worked with Tyler Nace and you have concerns about your investments, please contact us today at 877-600-0098 or 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.