INVESTORS: Former Voya Financial Advisors broker James Travis Flynn was barred by FINRA after he failed to comply with an arbitration award or settlement agreement or to satisfactorily respond to an information request concerning the status of compliance.
James Travis Flynn (CRD: 3082615) was registered as a broker and investment adviser with Voya Financial Advisors from 2013 until 2017. Flynn was also registered as a broker with IFS Securities from 2017 until 2018.
Flynn has 78 disclosures on his BrokerCheck report. We previously reported on Flynn’s disclosures in March 2020. Flynn has received thirteen additional disclosures in 2021 and 2022, alone. One customer dispute filed against Flynn in 2021 was withdrawn.
July 2022 Regulatory Judgment
Status: Final
Initiated By: FINRA
Allegations: Respondent Flynn failed to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance.
Resolution: Letter
Sanction: Suspension
Registration Capacities Affected: All Capacities
Duration: Indefinite
Duration Explanation: Continues until required payment is made or discharged.
Start Date: 7/14/2022
Regulator Statement: Pursuant to Article VI, Section 3 of FINRA By-Laws, and FINRA Rule 9554, Respondent Flynn is suspended on July 14, 2022 for failure to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance.
May 2022 Customer Dispute
Status: Pending
Allegations: Claimants allege that they were sold unsuitable investments and were misrepresented as conservative and low risk.
Damage Amount Requested: $1,500,000.00
December 2021 Customer Dispute
Status: Settled
Allegations: The security, Atel 14, LLC, purchased by [redacted] only, in October 2011, was alleged to be unsuitable.
Damage Amount Requested: $100,000.00
Settlement Amount: $15,340.91
December 2021 Customer Dispute
Status: Settled
Allegations: The security, Atel 14, LLC, purchased by [redacted] only, in October 2011, as well as an additional purchase in January 2012, was alleged to be unsuitable.
Damage Amount Requested: $102,498.23
Settlement Amount: $19,090.91
December 2021 Customer Dispute
Status: Settled
Allegations: The security, Atel 14, LLC, purchased by [redacted] only, in November 2011, was alleged to be unsuitable.
Damage Amount Requested: $50,000.00
Settlement Amount: $18,750.00
December 2021 Customer Dispute
Status: Settled
Allegations: The security, Atel 14, LLC, purchased by [redacted] only, in November 2011, was alleged to be unsuitable.
Damage Amount Requested: $110,000.00
Settlement Amount: $15,340.91
September 2021 Customer Dispute
Status: Settled
Allegations: The Statement of Claim alleges the sale of alternate investments were misrepresented by stating they were safe, would pay a regular income, and would go public resulting in substantial profits.
Damage Amount Requested: $300,000.00
Settlement Amount: $318,000.00
June 2021 Customer Dispute
Status: Settled
Allegations: Allegations include misrepresentations and the overall unsuitableness of the investments for persons of their age and financial goals.
Settlement Amount: $975,000.00
April 2021 Customer Dispute
Status: Settled
Allegations: Allegations include recommendations and sales to claimants of risky, unsuitable, illiquid alternative investments.
Damage Amount Requested: $500,000.00
Settlement Amount: $1,200,000.01
March 2021 Customer Dispute
Status: Settled
Allegations: Allegations include client was recommended risky, unsuitable, illiquid alternative investment.
Damage Amount Requested: $50,000.00
Settlement Amount: $25,000.00
March 2021 Customer Dispute
Status: Settled
Allegations: Allegations include recommendations and sales to claimants of risky, unsuitable, illiquid alternative investments.
Damage Amount Requested: $500,000.00
Settlement Amount: $1,794,691.60
March 2021 Customer Dispute
Status: Settled
Allegations: Allegations include recommendations and sales to claimants of risky, unsuitable, illiquid alternative investments.
Damage Amount Requested: $500,000.00
Settlement Amount: $1,226,533.57
If you have any information about James Travis Flynn that you would like to share or discuss, please call our firm for a confidential consultation. We represent investors in claims against negligent brokers and brokerage firms. If you or your loved one experienced investment losses, we are here to help. For a free consultation, please call us now at 866-827-3202 or complete our contact form.
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