Gregg Scott Lentz, of Waukesha, Wisconsin, a stockbroker formerly registered with Triad Advisors LLC, is referenced in a customer initiated investment related written complaint which was settled on March 25, 2020, to resolve allegations that Lentz made unsuitable recommendations to the customer regarding a variable annuity purchase during the period that Lentz was associated with Triad Advisors and Investors Capital Corp.
Lentz has been identified in three additional customer initiated investment related disputes regarding accusations of his wrongdoing during the time that he was employed by Questar Capital Corporation and Pruco Securities. FINRA Public Disclosure shows that a customer filed an investment related complaint regarding Lentz’s conduct where they sought compensatory damages based on allegations that Lentz misrepresented premiums on a variable appreciable life insurance policy purchased through him at Pruco Securities.
Lentz is also the subject of a customer initiated investment related written complaint in which the customer requested compensation founded on accusations of Lentz misrepresenting the abbreviated placement plan on a variable appreciable life insurance policy that he sold when employed by Pruco Securities. Another customer filed an investment related complaint involving Lentz’s activities where they sought compensatory damages supported by allegations that Lentz failed to provide essential information concerning the replacement of Prudential annuities with Allianz variable annuities.
Lentz’s stockbroker and investment adviser representative registrations with Triad Advisors have been terminated as of May 29, 2018. Since May 25, 2018, Lentz has been registered with Arkadios Capital as a stockbroker and Arkadios Wealth Advisors as an investment adviser representative.