Public records published by the Financial Industry Regulatory Authority (FINRA) on December 1, 2016 indicate that Utah-based H. Beck broker/adviser Travis Hudak has been the subject of customer disputes. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Hudak (CRD# 3128251).
Travis Hudak has spent eighteen years in the securities industry and has been registered with H. Beck in Salt Lake City, Utah since 2008. Previous registrations include Gunnallen Financial in Salt Lake City, Utah; Investment Management Corporation in Salt Lake City, Utah; Eagle Gate Securities in Salt Lake City, Utah; UBS Painewebber in Weehawken, New Jersey; and Fidelity Brokerage Services in Smithfield, Rhode Island. He is a registered broker and investment adviser nine US states: Arizona, California, Idaho, Nevada, New York, Texas, Utah, Washington, and Wyoming.
According to his BrokerCheck report, Travis Hudak has received four customer complaints and was terminated from three prior employers.
In 2013 a customer alleged Travis Hudak, while employed at H. Beck, misrepresented material facts and led an unsuitable investment strategy. The complaint, in which he was not a named respondent, settled for $75,000.
In 2008 Travis Hudak was terminated from his position at Gunnallen Financial following allegations he “allowed a statutorily disqualified individual to represent himself as being associated with his branch office.”
In 2004 a customer alleged he, while employed at UBS, breached his fiduciary duty, committed fraud, misrepresented material facts related to an investment, and recommended unsuitable securities. The complaint settled without any participation from Mr. Hudak for $38,000.
In 2003 he was terminated from Eagle Gate Securities following allegations he failed to disclose an outside business activity and participated in improper sales practices.
In 2002 a customer alleged he, while employed at UBS, misrepresented material facts. The complaint settled for $4,150.
In 2002 a customer alleged he, while employed at UBS, acted negligently, executed unauthorized transactions and made unsuitable recommendations. The complaint settled for $670,000.
If you have lost money investing with Travis Hudak, you may be entitled to recoup your losses. Call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 for a free consultation. All cases are taken on a contingency basis, which means we only get paid if and when you collect money. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.