10.0David P Neuman
(720) 599-3505

TRIAD ADVISORS Fined and Ordered to Pay RESTITUTION to Customers


TRIAD ADVISORS Fined and Ordered to Pay RESTITUTION to Customers

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TRIAD ADVISORS Fined and Ordered to Pay RESTITUTION to Customers

Norcross, GA

We are currently investigating allegations made against Triad Advisors, a Norcross, Georgia-based securities brokerage firm.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against the firm, making allegations that it failed to adequately supervise the exchange of Class A mutual fund shares and variable annuity exchanges. 

Because of the front-end load associate with purchasing Class A share mutual funds, early exchanges of these mutual fund shares can create extra costs for investors.  Similarly, variable annuities can have surrender charges, which makes annuity exchanges unsuitable in certain circumstances.  To settle these allegations, Triad Advisors agreed to pay a $150,000 fine and $43,998 in restitution. 

Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado; Seattle, Washington; Ann Arbor, Michigan; and Phoenix, Arizona.  We represent investors in FINRA arbitration proceedings in all 50 states.  Our attorneys have represented over one thousand investors against many brokerage firms in the past, including against Triad Advisors. 

If you lost money with Triad Advisors in variable annuities or mutual funds, please CONTACT US at 720-599-3505 for a free evaluation of your case.

Israels & Neuman, PLC is a private law firm and is not affiliated with any government or law enforcement agency. Any investigation referenced in this blog is independent in nature and is being conducted by our law firm privately, not in conjunction with any government or law enforcement agency. All information contained in this blog should be deemed statements of opinion derived from the author’s review of public records, not statements of fact. This blog is advertising material and does not create an attorney client relationship, nor does it constitute legal advice. Everyone’s situation is different and the question of whether or not you have a claim will vary on a case-by-case basis. In contingent representation, clients may still be liable for costs.
10.0David P Neuman


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