Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Travis James (James), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that James recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on October 18, 2024.
Customer alleges representative failed to follow instructions. Time period: 2017-2023.
