Travis Salley Allegedly Engaged in Outside Business Activities

Travis Salley (CRD #: 6523971) has been fired by Empirikal Partners. This disclosure appears on his BrokerCheck record, accessed on August 6, 2024. Keep reading if you have questions regarding his alleged conduct. 

Employment Separation After Allegations 

On July 11, 2024, Empirikal Partners fired Travis Salley following allegations that he engaged in unapproved outside business activities. 

Outside Business and Selling Away

FINRA Rule 3270 requires brokers to inform their firm of any outside business activities or any investments sold away from the firm. The brokerage firm may prohibit the activity if the firm believes the proposed activity may compromise the broker’s duties. Firms may also require brokers to seek approval of any outside business.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Violations of FINRA Rule 3270 also violate this rule. 

Background Information 

Travis Salley has passed the following exams: 

• Series 66 – Uniform Combined State Law Examination 
• SIE – Securities Industry Essentials Examination 
• Series 7 General Securities Representative Examination

He has also registered with the following firms: 

• Wells Fargo Clearing Services (CRD #: 19616) 
• Edward Jones (CRD #: 250) 

Kurta Law Can Help 

If you have worked with Travis Salley and have concerns about your investments, do not hesitate to contact us at 877-600-0098 or email info@kurtalawfirm.com for a free consultation. 

For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. Do not let securities fraud go unchecked. Start your recovery process today.