Haselkorn & Thibaut, P.A., operating as Investment Fraud Lawyers, has officially opened an independent investigation into Travis Price Alexander (CRD #5504338), a former registered representative with Raymond James Financial Services, Inc. and Ameriprise Financial Services, Inc.. If you are an investor with concerns regarding your accounts or transactions involving Travis Alexander, our attorneys invite you to review the findings below and contact us at 1-888-885-7162 for a free, confidential consultation.
Who is Travis Price Alexander? Based on our research and recent BrokerCheck review, Travis Price Alexander is a financial professional who no longer holds an active broker registration. He previously worked with clients while registered in Texas and was associated with Raymond James Financial Services, Inc. and Ameriprise Financial Services, Inc. Although he passed the SIE, Series 7, and Series 66 exams, his regulatory history now reflects several significant red flags that investors should carefully review.
Current Status and Regulatory Actions
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As of our review on July 29, 2026, Travis Price Alexander’s FINRA BrokerCheck report reflects a final regulatory action and multiple customer disputes. Specifically:
- Suspended by FINRA in all capacities: On May 25, 2026, FINRA issued an indefinite suspension after Alexander failed to provide requested information. He is not permitted to associate with any member broker-dealer until he complies. If he fails to respond, the suspension may escalate into a permanent bar as soon as August 3, 2026.
- Active investment adviser registration remains: Although not currently an active broker, Alexander is listed as an investment adviser.
Understanding the Regulatory Action: The action references FINRA Rule 9552 (“Failure to Provide Information”), which permits suspension when a representative fails to respond to FINRA’s requests for information. This non-cooperation raises serious concerns for present or former investors.
Customer Complaints and Investor Disputes Listed on BrokerCheck
Investors should review the complete list of customer complaints against an advisor. For Travis Price Alexander, four separate customer disputes are documented on his BrokerCheck record. Below are details for the two most substantial matters, along with summary information for the remainder:
| Date | Allegation | Claimed Damages | Status | Case Numbers |
|---|---|---|---|---|
| January 22, 2026 | Alleged investment in a private transaction; principal not returned. | $99,999 | Pending | FINRA 26-00161 |
| August 12, 2025 | Alleged misrepresentations regarding a real estate investment; losses on direct investment interests. | $282,434.75 | Pending | FINRA 25-01503; State Court 24LBCV02340 |
| Two additional disputes involving undisclosed claims also appear in the BrokerCheck file. | ||||
- Private securities transaction allegations: At least one complaint involves “selling away” — facilitating a private deal outside of his employment with a member firm, which may implicate FINRA Rule 3280 and expose investors to unsupervised risk.
- Misrepresentation and principal losses: Another dispute alleges significant misrepresentations in connection with a direct real estate investment and a failure to return invested funds. Damages in these cases total more than $380,000 collectively.
Why Do These Red Flags Matter?
Private transactions without written notice and approval often violate industry rules and can put investors at risk. FINRA Rule 3280 requires full disclosure, firm approval, and supervision when registered representatives participate in outside investments for compensation. Lack of transparency and oversight are classic risk factors for investor loss.
A regulatory suspension — especially one based on failure to cooperate — may signal underlying issues. Investors should proceed with heightened caution, particularly where a broker allegedly failed to return principal or recommended unapproved investment products.
Regulation Best Interest and Your Investor Protections
The SEC’s Regulation Best Interest (Reg BI) requires broker-dealers and registered representatives to act in their clients’ best interests at the time of recommending securities. This includes disclosure of costs, conflicts, and the nature of recommendations. Brokers must not place their own interests ahead of the client’s. If you suspect recommendations were motivated by personal gain or were not in your best interest, you may have important rights and potential avenues for recovery.
- Disclosure obligation: Was the product or transaction, including outside deals, fully explained?
- Care obligation: Did the advisor consider whether the investment was truly in your best interest?
- Conflict of interest: Did the advisor receive any personal benefit from selling the product?
- Compliance: Did the firm maintain policies designed to prevent rule violations?
If you believe your accounts were mishandled or your losses resulted from a violation of these duties, you may be entitled to seek recovery.
Our Experience – Why Investors Choose Us
As former Wall Street defense attorneys, we leverage insider knowledge of the brokerage industry. Our attorneys have more than 95 years of combined securities law experience and have handled claims involving over $520 million in disputed securities transactions. Our dedication is reflected in a 98% success rate across hundreds of investor claims and recognition among the Top 2% peer-reviewed attorneys (Martindale-Hubbell AV Preeminent) and Super Lawyers. We are also proud of our 5.0-star client reviews. Every investor we represent benefits from our “No recovery, no fee” commitment — if you do not recover funds, you owe us nothing.
Next Steps: Protecting Your Interests
We urge anyone who has worked with Travis Price Alexander, or invested in products he recommended while at Raymond James Financial Services, Inc. or Ameriprise Financial Services, Inc., to review account statements and investment history for irregularities. Warning signs may include:
- Unexpected or unauthorized investments in private transactions or real estate interests
- Difficulties withdrawing funds or redeeming investments
- Products that were not fully explained, or promised returns that failed to materialize
- Lack of transparency or unsatisfactory answers to your questions
- Significant, unexplained portfolio losses
Investors can continue to monitor BrokerCheck for the latest information on regulatory filings or customer complaints.
Contact Us: Free Consultation and Confidential Review
If you are concerned about financial losses or broker misconduct involving Travis Price Alexander in Texas, or if you would like your situation reviewed at no charge, our attorneys provide a free and fully confidential consultation. We represent investors nationwide, and our investigations are conducted at no upfront cost to you.
Contact us now at 1-888-885-7162 or submit your case online to start your path toward recovery. Experience, commitment, and results — our former Wall Street attorneys will fight to help you recover your losses and protect your rights as an investor.
