Triad Advisors | DKR | Improper Conduct

Triad Advisors

Triad Advisors

Triad Advisors is an independent broker/dealer based in Atlanta, Georgia. The company was founded in Triad was founded in 1998 and by the end of 2007 had 375 brokers located in 37 states servicing over $9.5 billion in client assets. Triad is offers fee-based investment advice. It also offers a comprehensive, open architecture menu of wealth management products.

Triad Advisors Ordered to Pay Customers $103,000

A FINRA arbitration panel ordered Triad Advisors to pay an investor $103,000 to compensate the investor for damages suffered as a result of Triad’s improper conduct. Claimant asserted the following causes of action: unsuitability; violation of Wisconsin Uniform Securities Act; breach of fiduciary duty; negligence; breach of contract; and respondeat superior liability. The causes of action relate to the alleged unsuitable recommendations to liquidate mutual funds and annuities to invest in NASDAQ based securities, This, according to Claimant, was in stark contrast to her investment objective of retirement.

If you suffered investment losses, please contact us or communicate with a Dimond Kaplan & Rothstein, P.A. attorney at 888-578-6255 or for a free case evaluation.

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Miami Office
Grand Bay Plaza
2665 S. Bayshore Drive
Penthouse 2B
Miami, FL 33133
Telephone: 786.628.8236

Los Angeles Office
Available by Appointment
2029 Century Park East
Century Plaza Tower
Suite 400N
Los Angeles, CA 90067
Telephone: 424.544.7930

New York City Office
Available by Appointment
14 Wall St, 20th Floor
New York, NY 10005
Telephone: 917.382.5217

West Palm Beach Office
Northbridge Centre
515 N. Flagler Drive, Suite P-300
West Palm Beach, FL 33401
Telephone: 561.475.2887

Detroit Office
41000 Woodward Avenue,
Suite 350 East
Bloomfield Hills, Mi 48304
Telephone: 248.368.0182