Tag Archives: Triad Advisors LLC

Investors File Securities Arbitration Claim Against Triad Advisors For Breach Of Fiduciary Duty

July 07, 2021  |   Posted by :   |   Alternative Investments, Breach of Fiduciary Duty, Investment and Regulatory News, Unsuitable Investment Recommendations   |   Comments Off on Investors File Securities Arbitration Claim Against Triad Advisors For Breach Of Fiduciary Duty

Christopher Thomas Tolmacs of Portage Michigan a stockbroker formerly registered with Triad Advisors is referenced in a customer initiated investment related FINRA securities arbitration claim in which the customer sought $225,000.00 in damages based upon allegations of the violation of securities rules and the breach of fiduciary duty by the stockbroker as it pertained to […]

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FINRA Sanctions Triad Advisors For Failure To Supervise

March 08, 2021  |   Posted by :   |   Failure To Supervise, Investment and Regulatory News, Mutual Fund Fraud, Variable Annuites   |   Comments Off on FINRA Sanctions Triad Advisors For Failure To Supervise

Triad Advisors LLC a securities broker dealer headquartered in Atlanta Georgia has been censured and fined $150,000.00 by Financial Industry Regulatory Authority (FINRA) based on findings of Triad’s failure to supervise its stockbrokers’ transactions resulting in unsuitable trades being effected in customers’ accounts. Letter of Acceptance Waiver and Consent No. 2017052330501 (Feb. 9, 2021). According […]

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Triad Advisors Sued By Investors For Stockbroker Theft

April 08, 2020  |   Posted by :   |   Business Development Companies, Misappropriation of Funds, Securities Arbitration Claims, Stockbroker Theft   |   Comments Off on Triad Advisors Sued By Investors For Stockbroker Theft

Christopher Thomas Tolmacs (also known as Chris Tolmacs) of Portage Michigan a stockbroker formerly registered with Triad Advisors Inc. is the subject of a customer initiated investment related arbitration claim which was settled for $95,000.00 in damages based upon allegations that (1) the customer was placed in bad alternative investments including business development company (BDC) […]

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Triad Advisors Fined For Cheating Customers

Triad Advisors LLC, headquartered in Norcross, Georgia, was censured and fined $125,000.00 by Financial Industry Regulatory Authority (FINRA) for failing to apply sales charge discounts to eligible customers’ purchases of unit investment trusts; and failed to develop and adequately implement supervisory policies and procedures to ensure that such customers received sales charge discounts on all […]

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