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.
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