Tag Archives: Triad Advisors Inc.

Triad Advisors Accused Of REIT Misrepresentation

David Arthur Hicks of Baltimore Maryland a stockbroker currently registered with Triad Advisors LLC is the subject of a customer initiated investment related complaint in which the customer sought $13,000.00 in damages based upon accusations that misrepresentations had been made by Hicks concerning real estate investment trust products he sold to the customer when associated […]

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Investors Sue Triad Advisors For Fraud

Liam Gerard O’Keeffe of Danbury Connecticut a stockbroker formerly registered with Triad Advisors is referenced in a customer initiated investment related arbitration claim which was settled for $65,000.00 in damages supported by accusations that between 2001 and 2016: (1) bad investment recommendations were made to the customer and (2) misrepresentations had been made concerning the […]

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Customer Sues Triad Advisors for Suitability

Christopher Thomas Tolmacs of Portage, Michigan, a stockbroker formerly registered with Triad Advisors, Inc., is the subject of a customer initiated investment related arbitration claim, which settled for $51,000.00 in damages based upon allegations that Tolmacs made unsuitable investment recommendations to the customer concerning business development corporations, exchange traded funds and fixed annuities. FINRA Arbitration Case […]

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Customer Files FINRA Securities Claim Against INVEST Financial Corporation

May 18, 2017  |   Posted by :   |   Unsuitable Investment Recommendations   |   0 Comments

Leavitt Freeman Sanders, of West Point, Georgia, a stockbroker formerly registered with INVEST Financial Corporation, has been named in a customer initiated investment related written complaint, which settled on January 16, 2017, for $11,503.00 in damages based upon allegations that Sanders effected investment strategies concerning options products that were misrepresented and unsuitable for the customer. […]

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Leavitt F. Sanders Named in Forty Two Customer Arbitration Claims

Leavitt F. Sanders, of West Point, Georgia, a stockbroker formerly registered with Triad Advisors, Inc., was named in a customer initiated investment related arbitration claim on August 15, 2016, in which the customers requested $3,835,000.00 in damages based upon allegations that Sanders effected an investment strategy for customers which was not suitable. From December 15, […]

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Triad Advisors Stockbrokers Barred for Selling Away

Gary Lee Rathbun and Douglas Scott Miller, both of Toledo Ohio, and stockbrokers for Triad Advisors, Inc., were permanently barred from associating with any Financial Industry Regulatory Authority (FINRA) member firm in any capacity after engaging in unauthorized outside business activities. Letter of Acceptance, Waiver and Consent, No. 2014041919401 (May 17, 2016). According to the AWC, […]

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