Kenneth Anthony Luccioni of Sacramento, California, a stockbroker registered with Triad Advisors LLC, is the subject of a customer initiated investment related FINRA securities arbitration claim in which the customer requested $5,000.00 in damages based upon allegations that Luccioni made unsuitable recommendations of mutual funds when Luccioni was associated with Triad Advisors LLC. Financial Industry Regulatory Authority (FINRA) Arbitration No. 22-01432 (June 24, 2022).
Luccioni is also referenced in a customer initiated investment related FINRA securities arbitration claim that was settled for $125,000.00 in damages based upon allegations that Luccioni overconcentrated the customer’s account in oil and gas investments. FINRA Arbitration No. 21-00015 (March 22, 2022).
FINRA Public Disclosure also shows that on November 9, 2018, Luccioni was barred from associating with any FINRA member in any capacity because Luccioni failed to provide information and documents to FINRA when it investigated possible violations of FINRA rules. Letter of Acceptance, Waiver, and Consent No. 2018058975901.
According to the AWC, on June 27, 2018, FINRA sent Luccioni a request for documents and information concerning state and federal tax liens on his Form U4. On October 12, 2018, Luccioni acknowledged that he received FINRA’s request and would not provide the information and documents at any time. Luccioni violated FINRA Rules 2010 and 8210.
Luccioni was associated with Triad Advisors Inc. in Parkridge, IL, as a stockbroker from November of 2000 to December of 2016.
