GWG Investor Files Complaint Against Finance CAPE’s Travis Jennings

Former Dempsey Lord Smith representative Travis Jennings (CRD# 5753812) recently received an investor complaint alleging he engaged in misconduct relating to the sale of GWG L bonds. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Tampa-based broker is currently registered as an investment advisor with Encompass Financial Group, doing business as Finance CAPE, in Chapel, Florida. 

Mr. Jennings’ BrokerCheck report discloses one recent investor complaint. Filed in September 2022, it alleges that as a representative of Finance CAPE, he unsuitably recommended an investment in GWG L bonds, failed to follow the client’s instructions, and breached his fiduciary duty to place the investor’s interests above his own. (More information about GWG Holdings, whose sale of L bond products is under investigation by securities regulatory authorities, can be found here.) The pending complaint alleges damages of $500,000.

According to the Financial Industry Regulatory Authority and the Securities and Exchange Commission, Travis Jennings holds ten years of securities industry experience. Based in Chapel, Florida, he has been an investment advisor with Finance CAPE since 2019. His past registrations include Dempsey Lord Smith (Tampa, Florida; 2018-2019), Claraphi Advisory Network (Tampa, Florida; 2017-2018), Global Financial Private Capital (Wesley Chapel, Florida; 2012-2017), and Accurate Wealth Management (2015). His credentials include the passage of three securities industry qualifying exams, including the Direct Participation Programs Representative Examination and the Uniform Investment Adviser Law Examination. He is licensed as an investment advisor in Florida; he is not currently registered as a broker. (Information current as of November 4, 2022.)

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