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.
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Anthony J. Falco Jr. [CRD: 5125793, Wayne, Pennsylvania] is a securities broker whose BrokerCheck record contains disclosures that may concern investors who experienced losses. Falco has been registered with J. Alden Associates Inc. since March 10, 2021, and with Alden Investment Group since May 3, 2024. He was previously registered with MPB Wealth Management LLC […]
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