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Investor Alleges Travis Kohn Failed to Follow Instructions

Travis Kohn (CRD #: 6112397), a broker registered with LPL Financial, allegedly failed to follow a client’s instructions, according to his BrokerCheck record, accessed on September 26, 2022. If you want to learn more about Travis Kohn’s conduct as a broker, read on.

Investor Dispute

On August 1, 2022, an investor filed a dispute alleging that Travis Kohn failed to follow their instructions involving the liquidation of mutual funds. This dispute is pending.

Mutual funds can be risky, depending on their underlying investments and fee structure. 

FINRA Rule 2010

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

Background Information

Travis Kohn has passed the following exams:

  • Series 65 – Uniform Investment Adviser Law Examination
  • Series 63 – Uniform Securities Agent State Law Examination
  • Series 7TO – General Securities Representative Examination
  • SIE – Securities Industry Essentials Examination
  • Series 6 – Investment Company Products/Variable Contracts Representative Examination

Travis Kohn is a registered broker in Indiana and Ohio. He is also a registered investment adviser in Indiana.

He has also worked for J.P. Morgan Securities (CRD#:79).

Kurta Law Can Help

If you worked with Travis Kohn 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. 

 

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