MAY 2017-Greenville, SC
The FINRA records of James Travis Flynn , a former Voya Financial Advisors stockbroker disclose 2 pending customer disputes, 4 prior final customer disputes, a termination from employment and 3 outstanding judgment/liens.
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
In a recent dispute a customer of Voya Financial Advisors seeks damages of $115,000 and alleges that he questioned the suitability of REIT investments and the replacement of a variable annuity policy.
In another currently pending matter, a customer of Voya Financial and Brookstone Securities alleges damages in connection with a $575,000 investment in annuities and real estate investment trust (REITs) which they allege were unsuitable.
In February 2017 Flynn was discharged from Voya Financial Advisors who made the following allegation in connection therewith: “The representative provided misleading information to the Firm during a complaint investigation” related to a variable annuity.
Flynn discloses Federal Tax Liens of $256,165 and $18,837.
Jim Flynn is currently registered with IFS Securities. He was registered with Voya Financial Advisors 5/2013-2/2017, Capital Investment Group in Greer, SC, 7/2011-6/2013 and Brookstone Securities 9/2006-7/2011. He discloses a business affiliation with Flynn Insurance Group and Flynn Wealth Management.
If you have questions about an account handled by James (Jim) T. Flynn , contact us to discuss to discuss your options.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
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