TRAVIS FREDERICK DAUCHY

TRAVIS FREDERICK DAUCHY is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 18100 Van Karmin Ave, Suite 850, Irvine, CA, 92612.

TRAVIS FREDERICK DAUCHY has worked at LPL FINANCIAL LLC since October 21, 2016

Disclosure History

TRAVIS FREDERICK DAUCHY has 2 Disclosure Event(s).

Date: August 25, 2015
Category: Customer Dispute
Allegations: Customer alleges that individual bond recommendation made in 2012 was not appropriate.
Damage Amount Requested: $55,000.00
Broker Comment: Customer was informed of all risks associated with subject bond, to include credit risk, at the time of the purchase and accepted the risk associated with the desired yield and corresponding bond. Customer still holds this bond in his account. He selected these and other bonds from lists of available bonds provided by our bond desk. Firm has reviewed and concluded that representative acted appropriately.

Date: December 08, 2011
Category: Customer Dispute
Allegations: CLIENT ALLEGES SHE PURCHASED A 2010 VARIABLE ANNUITY BASED ON THE AGENT'S REPRESENTATION THAT NO DOWNWARD FLUCTUATION OF THE PRINCIPLE INVESTMENT WOULD OCCUR AND SHE WOULD BE GUARANTEED A MINIMUM OF 5% PER YEAR. CLIENT IS REQUESTING THE FIRM TO INVESTIGATE THIS MATTER. DAMAGES UNSPECIFIED.
Broker Comment: THE FIRM HAS FOUND NO BASIS TO THE CUSTOMER'S COMPLAINT

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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