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Travis James Allegedly Failed to Follow Instructions

Travis James (CRD #: 4297837), a broker registered with LPL Financial, is the subject of an investor dispute. This disclosure appears on his BrokerCheck record, accessed on August 23, 2024. Details are provided below. 

Investor Allegations 

On June 18, 2024, an investor alleged that Travis James failed to follow instructions. 

High Standards of Commercial Honor

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Failure to follow instructions violates this rule. 

Background Information 

Travis James 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

He is a registered broker in 16 states and is a registered investment adviser in Georgia, Michigan, and Texas. 

During his 22 years of experience, Travis James has registered with two firms: LPL Financial (CRD #: 6413) and Benedict Financial Advisors (CRD #: 116690). 

Kurta Law Can Help 

If you worked with Travis James and you have concerns about your investments, do not hesitate to contact us at 877-600-0098 or email info@kurtalawfirm.com for a free consultation. 

For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that 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. Do not let securities fraud go unchecked. Start your recovery process today.

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