Yieldstreet Investors’ $9M Deal Over Risky Offerings OK’d
Law360 (October 29, 2024, 9:26...
30 October, 2024 No comment
James Travis Flynn was a Greenville, SC broker. Flynn was registered with IFS Securities until 2018, when FINRA barred him from the industry. Currently, Flynn has 54 BrokerCheck Disclosures, including Customer Disputes, Employment Separations, Financial Disclosures, and Regulatory Disclosures.
Peiffer Wolf Carr Kane & Conway is currently investigating claims against James Travis Flynn, most recently a registered broker at IFS Securities and Voya Financial Advisors.
According to FINRA’s BrokerCheck website for Public Disclosures, James Travis Flynn has been the subject of 54 disclosures, including:
4 Pending Costumer Disputes in 2020. Allegations include unsuitable investment recommendations, misrepresentations, omitting material information, illiquid investments, speculative financial products, investments unqualified for clients. Total damage amount requested: $2,060,750.
20 Costumer Disputes in 2019 (6 of which have been settled). Allegations include illiquid real estate investments, misrepresentation, misleading investment guarantees, exaggeration of financial information, unsuitable securities recommended, high risk and high fee. Total damage amount requested exceeds $4,000,000.
12 Costumer Disputes in 2018. Allegations include improper sales of alternative investments, common law fraud, negligent representation, illiquid products recommended, unsuitable investments, unsuitable REIT investments.
June 2018 – Regulatory. Initiated by FINRA. Sanction: Bar for indefinite duration.
February 2018 – Employment Separation After Allegations. IFS Securities discharged James Travis Flynn. Allegations: “Client alleges trading ahead of authorization.”
4 Costumer Disputes in 2017. Allegations include unsuitable purchase of REIT and unauthorized trading activity. Total settlement amount: $200,598,40.
February 2017 – Employment Separation After Allegations. Voya Financial Advisors discharged James Travis Flynn. Allegations: “The representative provided misleading information to the firm during a complaint investigation.”
Other disclosures include bankruptcy (2013) and Judgement/Liens (1 Civil, 2 Taxes).
To review James Travis Flynn’s Brokercheck report, click here:
Were You a Victim of Investment Fraud or Broker Misconduct?
If you believe you were a victim of investment fraud or broker misconduct, it is imperative to take action. Peiffer Wolf Carr Kane & Conway has represented thousands of victims, and we remain committed to fighting on behalf of investors.
Contact Peiffer Wolf Carr Kane & Conway today by filling out a Contact Form on our website or by calling 585-310-5140 to schedule a FREE Case Evaluation.
Get a FREE case Evaluation.
"*" indicates required fields
Bad Brokers in the news
-
-
Despite Rule Change, FINRA’s BrokerCheck Tags No ‘Restricted’ Firms?
Nine months after FINRA began ...
20 June, 2024 No comment
Brokercheck®️ report
Information about this broker was obtained from FINRA’s BrokerCheck on February 24, 2020. You should always review the broker’s BrokerCheck report for updated information. If you believe some of the content on this page does not reflect the report, contact us.
James Travis Flynn (Jim Flynn) Client?
Financial advisors (brokers) have a legal obligation and regulatory obligation to recommend only suitable investments that are appropriate for their individual clients. Their broker-dealer (employing brokerage firm) has a legal obligation and regulatory obligation to supervise the financial advisor’s sales practices and dealings with clients. To the extent that any of these duties are breached, the customer may be entitled to a recovery of his or her investment losses.
James Travis Flynn (Jim Flynn) has worked at multiple firms over the years, including IFS Securities, Voya Financial Advisors, Capital Investment Group, Brookstone Securities, Uvest Financial Services Group, Wachovia Securities, BB&T Investment Services, The O.N Equity Sales Company, Intersecurities, Sunset Financial Services and VSR Financial Services. FINRA maintains a database of investor complaints and disciplinary and employment history for registered representatives and publishes some of this information on its BrokerCheck website, www.brokercheck.finra.org.
FREE Consultation | 585-310-5140
If you believe you were a victim of investment fraud or broker misconduct, it is imperative to take action. Peiffer Wolf Carr Kane & Conway has represented thousands of victims, and we remain committed to fighting on behalf of investors.
Peiffer Wolf Carr Kane & Conway is currently investigating James Travis Flynn’s practices, as well as the products he recommended to individual investors. Concerns about possible broker misconduct and investment fraud are serious, and we are committed to fighting on behalf of investors. Contact Us Today for a FREE Consultation. 585-310-5140
