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Patrick Powell Has Received a Pending Customer Complaint


Patrick Powell

Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on March 6, 2018 indicate that Wisconsin-based Robert W. Baird & Company broker/adviser Patrick Powell is involved in a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Powell (CRD# 1041980).

Patrick Powell has spent 35 years in the securities industry and has been registered with Robert W. Baird & Company in Racine, Wisconsin since 1996. Previous registrations include Northwestern Mutual Investment Services in Milwaukee, Wisconsin (2005); Everen Securities in St. Louis, Missouri (1991-1996); Kemper Securities Group in St. Louis, Missouri (1990-1991); and Blunt Ellis & Loewi (1982-1990). He has passed nine securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on December 30, 1999; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on April 30, 1982; Series 31 (Futures Managed Funds Examination), which he obtained on November 10, 2010; Series 3 (National Commodity Futures Examination), which he obtained on April 11, 1983; Series 5 (Interest Rate Options Examination), which he obtained on August 31, 1982; Series 7 (General Securities Representative Examination), which he obtained on April 17, 1982; Series 8 (General Securities Sales Supervisor Examination [Options Module & General Module]), which he obtained on March 28, 1989; Series 24 (General Securities Principal Examination), which he obtained on December 2, 1987; and Series 4 (Registered Options Principal Examination), which he obtained on May 28, 1982. He is a registered broker and investment adviser with seven US states and territories: Arizona, Connecticut, Florida, Illinois, Oklahoma, Pennsylvania, South Carolina, Virginia, and Wisconsin. He is registered with four self-regulatory organizations (SROs): FINRA, NYSE American LLC, the Nasdaq Stock Market, and the New York Stock Exchange.

According to his BrokerCheck report, he has received one pending customer complaint.

In November 2017 a customer alleged Patrick Powell, while employed Robert W. Baird & Company, failed to supervise a registered representative who recommended unsuitable investments in their accounts. The customer is seeking $2,800,000 in damages in the pending complaint.

If you or someone you know has lost money investing with Patrick Powell, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recoup your losses. We accept all cases on contingency: Fitapelli Kurta only gets paid if and when you collect money. Time to file your claim may be limited, so we recommend you avoid delay. Call 877-238-4175 now to speak to an attorney for free.