Advisor Alert: Our Attorneys Are Investigating Travis John Hudak For Investment Fraud
Did You Lose Money Because of Travis Hudak?
Filed: February 19, 2024
Travis Hudak currently has one (1) pending financial event. Overall, he has been the subject of one (1) investigation, two (2) termination events, one (1) financial event, and one (1) judgment/lien event. As an investor, you may be entitled to compensation for losses accrued due to mismanagement of your investments.
Let’s begin our Patil Law Advisor Alert with a summary report on Travis John Hudak.
Who Is Travis John Hudak?
- Advisor Name: Travis John Hudak
- Aliases: Travis Hudak
- CRD: 3128251
- Location: Draper, Utah
- Current Employer: Currently Not Registered
- Previous Firms: Transitional Broker, H. Beck, Inc., and Gunnallen Financial, Inc.
- Number of Known Investigations: 1
- Number of Known Financial Events: 1
- Number of Known Termination Events: 2
- Number of Known Judgment/Lien Events: 1
- Can Travis Hudak Be Sued: Yes, in Private Arbitration
- Can Travis Hudak’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
- Highest Damages Allegation: Unknown
- Highest Settlement: Unknown
If you have suffered investment losses by Travis Hudak, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining an investment fraud lawyer. Reach out to the legal team at Patil Law, P.C. via the secure online form or call the firm directly toll-free at 1-800-950-6553.
Customer Complaints Filed Against Travis Hudak For Broker Misconduct
As of this publication date, Travis Hudak has been the subject of 1 investigation, 2 termination events, 1 financial event, and 1 judgment/lien event. Let’s review them below.
In October 2023, Mr. Hudak filed for bankruptcy in the State of Utah.
In October 2023, Travis Hudak was the subject of a civil judgment or lien in the amount of $1,100,000. In general, judgment liens are court rulings that give a creditor the right to take possession of a debtor’s property when the debtor has failed to fulfill his or her contractual obligations. Sometimes, these types of disclosures reflect IRS judgments, tax liens, and/or civil judgments against a financial advisor.
In November 2021, Lone Peak Advisers, LLC and Transitional Broker LLC terminated Travis Hudak for cause based on his violation of LPA’s and TB’s written procedures, his employment agreement (IAR agreement), as well as the regulations of the SEC and FINRA.
In November 2021, Lone Peak Advisers, LLC terminated Travis Hudak for failure to supervise his duties as the Delegated Compliance Officer of Marketing, Advertising, Sales Literature.
In September 2021, Utah State Division of Securities initiated an investigation against or in reference to Travis Hudak.
How To File A Claim Against Travis Hudak (previously with Transitional Broker, H. Beck, Inc., and Gunnallen Financial, Inc.) To Get Your Money Back
If you have questions about Travis Hudak, Transitional Broker, H. Beck, Inc., Gunnallen Financial, Inc., or the management or performance of your accounts, please contact Attorney Patil for a free initial consultation via email or toll-free at 1-800-950-6553.