Travis Dillard is an Arizona based securities broker. He has worked in the securities industry for thirty-one years. During his career, he has been registered with five different securities firms.
His registrations include; Prudential-Bache Securities (1988-1990), Sutro & Co. (1990-1996), Citigroup Global Markets (1996-2004), Morgan Stanley (2004-2015), and Wells Fargo Clearing Services (2015-Present).
Travis Dillard’s publicly available FINRA BrokerCheck report shows that he has received multiple customer complaints over the course of his career.
In April 2003, a customer alleged breach of fiduciary duty, unsuitability, failure follow instructions, breach of the duty of good faith and fair dealing, negligence, lost opportunity, and securities fraud. The alleged transgressions taking place between January 2000 and November 2002. This case was settled for $97,500 in damages.
In March 2009, a customer alleged unsuitable investments.
In August 2009, a customer alleged that Travis Dillard did not properly manage her account. The alleged transgressions taking place between 2005-2008. This case was settled for $50,000 in damages.
In August 2016, customers alleged unsuitability with respect to equity investments. The alleged transgressions taking place between 2014 and 2016. This case was settled for $30,000 in damages.
In October 2016, another customer alleged unsuitability against Travis Dillard. This case was settled for $87,500 in damages.
Oakes & Fosher dedicates its entire legal practice to helping investors across the nation. If you, or someone you know, have lost money investing with Travis Dillard, please contact Oakes & Fosher for a free and private consultation.