Curtis Edmark (CRD 1596961) is a registered representative with Centaurus Financial. According to BrokerCheck, a customer filed a claim against him on September 14, 2026 that remains pending.
Travis Alan Tom [CRD: 4762216, Littleton, Colorado] might have caused investors to sustain losses, according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Tom worked for Wells Fargo Clearing Services LLC from January 3, 2011, to April 7, 2026. Continue reading to discover more about Tom’s disclosures.
Evidently, a client filed a complaint about Travis Tom. Mainly, the client alleged that Tom purchased stocks in the account without obtaining authorization. For this reason, the client allegedly sustained damages when the stocks were sold. Therefore, on January 12, 2026, Wells Fargo Advisors LLC settled this matter by paying the client $10,826.41.
Additionally, Wells Fargo Clearing Services LLC disaffiliated with Tom on March 9, 2026. Allegedly, Tom placed trades in an investor’s account without permission and did not promptly report the investor’s related complaint to the firm.
Unauthorized trading occurs when a broker buys or sells investments in a client’s account without first obtaining permission. In a nondiscretionary account, the client controls each investment decision, so the broker generally must receive approval before placing a trade. This protection allows the client to evaluate the security, price, timing, risks, and possible costs. Trades made without authorization may cause financial losses, tax consequences, unwanted exposure, or investments that do not match the client’s objectives.
Do you have concerns or questions regarding investments you made with Travis Tom? You can contact Soreide Law Group at (888) 760-6552 or online and consult with a securities attorney concerning a potential recovery of your investment losses. Soreide Law Group has recovered losses for investors throughout the US. Also, our securities lawyers handle cases on a contingency fee basis and advance all costs. Tom and brokerage firms Tom worked for deny allegations of sales practice violations.
Curtis Edmark (CRD 1596961) is a registered representative with Centaurus Financial. According to BrokerCheck, a customer filed a claim against him on September 14, 2026 that remains pending.
Paulette Treguboff (CRD 2699595) is a registered representative with LPL Financial. According to BrokerCheck, a customer filed a claim against her on August 24, 2026 that remains pending.
Robert Averwater (CRD 5614514) is a Memphis, Tennessee broker. FINRA fined him $10,000, suspended him from association with any member firm in all capacities for four months, and required him to complete 10 hours of continuing education, according to an AWC issued August 18, 2026.
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