FINRA has barred former Triad Advisors LLC broker Nathan Gersteen Katz from the securities industry. Mr. Katz was expelled from the brokerage industry for refusing to cooperate with a FINRA investigation into Mr. Katz’s alleged recommendations of short-term switching of mutual funds, forgery of customer signatures on switch letters, use of…
The Financial Industry Regulatory Authority (“FINRA”) has suspended Triad Advisors LLC broker Mark Just from the securities industry for three months for willfully failing to timely amend his Uniform Application for Securities Industry Registration or Transfer (Form U4) to disclose two state tax liens, which totaled $37,333.80. Mr. Just was…
A FINRA customer complaint involving Orchard Securities broker Alma Edwards Faerber alleges that Ms. Faerber recommended alternative investments that were unsuitable. The claim, which was filed on December 11, 2020, is related to Ms. Faerber’s previous association with Triad Advisors. The claim seeks $1 million in damages. Triad Advisors is…
Iorio Altamirano LLP is investigating claims on behalf of Triad Advisors LLC customers after the firm was censured and fined $150,000 by FINRA. The sanctions involve supervisory failures related to i) switches and short-term trading of A-share mutual funds in customer accounts and ii) variable annuity exchanges. Triad Advisors LLC…