WARNING! Impending Investigation: CHRISTOPHER TOLMACS and TRIAD ADVISORS, INC.
Christopher Tolmacs and Triad Advisors, Inc.
Have you lost money with financial advisor Christopher Tolmacs of Portage, Michigan? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Christopher T. Tolmacs. FINRA barred Tolmacs from the securities industry after he failed to respond to a FINRA investigation. FINRA was investigating Tolmacs regarding allegations that he borrowed money from customers of his brokerage firm, Triad Advisors. Generally, it is a violation of FINRA rules to borrow money from customers, except in limited circumstances.
Christopher Tolmacs was a financial advisor and registered representative of Triad Advisors from April 2008 to March 2016. He worked at a branch office in Portage, Michigan. Tolmacs ran a couple of his own businesses, including Harbinger Financial Group and Harbinger Asset Management.
Brokerage firms like Triad Advisors have a responsibility to adequately supervise all representatives who are registered through their firm. Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies. When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.
Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado and the Seattle area. We represent investors in FINRA arbitration proceedings in all 50 states, including investors in Michigan. Attorney Aaron Israels is licensed to practice law in Michigan, and he grow up in nearby Holland, Michigan. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including LPL Financial, Merrill Lynch, Morgan Stanley, Smith Barney, Stifel Nicolaus & Company, UBS Financial Services, Oppenheimer, Charles Schwab, Wells Fargo Advisors, Ameriprise Financial Services, Raymond James, ProEquities, Securities America, National Securities Corp., and many others.
Click to view: Tolmacs FINRA AWC
Click to view: Tolmacs BrokerCheck 3.11.16
HAVE YOU LOST MONEY WITH CHRISTOPHER TOLMACS OR TRIAD ADVISORS?
Denver Office: (720) 599-3505
Seattle Office: (206) 795-5798
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.
Israels & Neuman, PLC