Investors might have sustained losses due to securities broker Travis James [CRD: 4297837, Atlanta, Georgia], based on publicly available information reported on FINRA BrokerCheck. Travis James has worked with LPL Financial LLC since January 10, 2002, and with Benedict Financial Advisors Inc. since May 21, 2004. Both firms are located in Atlanta, Georgia. Keep reading to learn more about the pending disclosure involving this securities broker and the nature of the allegations.
Notably, on October 18, 2024, an LPL Financial LLC client filed Civil Action No. 43-CV-2024-900254.00 about Travis James. Mainly, the client alleged that James failed to follow instructions from 2017 to 2023. For this reason, the client allegedly sustained damages on variable annuities. Therefore, the client requested damages in compensation from LPL Financial LLC or James. Evidently, this civil suit is ongoing.
When a securities broker or financial advisor fails to follow a client’s instructions, it generally means they did not execute trades or implement investment strategies as directed by the client. This type of misconduct can result in the client’s account being handled in a way that diverges from their intended goals, risk tolerance, or specific instructions. In some cases, this could lead to missed opportunities or unexpected losses. Brokers are required to follow reasonable and lawful instructions from their clients, and failure to do so may be considered a violation of securities laws and industry regulations.
Do you need clarification on any investment losses relating to Travis James? If so, you should contact Soreide Law Group online or at (888) 760-6552 and consult with a securities attorney regarding a possible recovery of your investment losses. Soreide Law Group has recovered losses for clients throughout the US. Also, the firm works on a contingency fee basis and advances all costs. James and brokerage firms James worked for deny allegations of sales practice violations.
Soreide Law Group has filed a FINRA arbitration on behalf of our clients (Claimants) against: CONCORDE INVESTMENTS SERVICES, LLC, and BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC (Respondents). The Claimants are in their late 70s, retired, and according to the lawsuit, were not looking to take any unnecessary risks with their retirement savings. The Claimants […]
THEODORE WILLIAM BYRER (THEODORE W BYRER, TED BYRER) was registered as a broker with MORGAN STANLEY of Indianapolis, Indiana, from 11/11/2013 - 04/20/2023. He was most recently registered with INTERNATIONAL ASSETS ADVISORY, INC of Westfield, Indiana, from 05/09/2023 - 09/17/2024. According to his BrokerCheck CRD report, dated 7/23/2026, THEODORE W BYRER was suspended for 14 […]
MARK LAWRENCE SULLIVAN (MARK SULLIVAN, MARK L SULLIVAN), formerly with UBS Wealth Management USA in New York City, was fined $10,000 and suspended for three months by the Financial Industry Regulatory Authority (FINRA) over allegations that he traded in customers’ accounts without the proper approval. Sullivan was previously registered both as a broker and as an […]
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