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JUDITH ANN TRAVIS

JUDITH ANN TRAVIS is currently employed as a Broker and/or Investment Adviser at CAMBRIDGE INVESTMENT RESEARCH, INC. located at 14855 Blanco Rd., Ste 106, San Antonio, TX, 78216.

JUDITH ANN TRAVIS has worked at CAMBRIDGE INVESTMENT RESEARCH, INC. since April 29, 2016

Disclosure History

JUDITH ANN TRAVIS has 4 Disclosure Event(s).

Date: November 23, 2015
Category: Judgment / Lien
Judgment/Lien Amount: $13,137.55
Judgment/Lien Type: Tax

Date: November 24, 2014
Category: Judgment / Lien
Judgment/Lien Amount: $32,442.30
Judgment/Lien Type: Tax

Date: November 18, 2013
Category: Judgment / Lien
Judgment/Lien Amount: $71,601.01
Judgment/Lien Type: Tax

Date: July 25, 2012
Category: Customer Dispute
Allegations: THE CLIENT ALLEGES THAT HIS RETIREMENT ACCOUNT WAS TRANSFERED BY THE REPRESENTATIVE WITHOUT HIS PERMISSION.
Damage Amount Requested: $43,036.35
Broker Comment: AS THE APPLICATION WAS SIGNED BY THE CUSTOMER IN THE PRESENCE OF A REPRESENTATIVE FROM HIS EMPLOYER, THE COMPLAINT WAS DENIED AS BEING WITHOUT MERIT.

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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