Triad Advisors – Investor Alert
Galvin Legal is launching an investigation on behalf of investors who may have suffered losses investing with Triad Advisors. If you suffered losses investing with Triad Advisors, then Galvin Legal may be able to help you recover your losses in a Financial Industry Regulatory Authority (“FINRA“) arbitration claim.
Triad Advisors (CRD# 25803) (SEC# 8-42007)
As of September 9, 2016, Triad Advisors’s FINRA BrokerCheck Report contains the following:
6 Regulatory Event Disclosures
0 Civil Event Disclosures
4 Arbitration Disclosures
0 Bond Disclosures
Main Office Location
5155 PEACHTREE PARKWAY
SUITE 3220
NORCROSS, GA 30092
Mailing Address
5155 PEACHTREE PARKWAY
SUITE 3220
NORCROSS, GA 30092
Business Telephone Number
770-840-0363
Direct Owners and Executive Officers
LADENBURG THALMANN FINANCIAL SERVICES, INC – OWNER
BRAND, WILLIAM CARL (CRD# 4441531) – VICE PRESIDENT, DEPUTY CCO
BRUDERMAN, ROBERT WILLIAM (CRD# 843492) – DIRECTOR
BRYAN, MICHAEL CHRISTIAN (CRD# 4265093) – SR. VICE PRESIDENT, ADVISORY SERVICES
HOSTEN, MARILYN THERESA (CRD# 843351) – SR. VICE PRESIDENT/ TRADING & OPERATIONS
MANTECON, ASELA (CRD# 1716905) – FINOP
METTELMAN, MARK CHRISTIAN (CRD# 1159422) – CHAIRMAN/DIRECTOR
ROSENTHAL, JEFFREY LIN (CRD# 2474795) – CEO/PRESIDENT
STIBBS, NATHAN MILES (CRD# 3165039) – EXECUTIVE VICE PRESIDENT OF BUSINESS DEVELOPMENT
STRAUSS, ERNEST GEORGE IV – CHIEF COMPLIANCE OFFICER / SR. VICE PRESIDENT
TYNER, CHRISTOPHER LENDELL (CRD# 4132294) – MUNICIPAL PRINCIPAL, ROSFP
FINRA requires brokerage firms to conduct due diligence on investments and to conduct a suitability analysis when recommending securities to a customer that takes into account the customer’s knowledge and experience. Brokerage firms that fail to conduct adequate due diligence or that make unsuitable recommendations can be held responsible for the customer’s losses in a FINRA arbitration claim.
If you suffered losses investing with Triad Advisors and would like a free consultation with a securities attorney, then please call Galvin Legal at 1-800-405-5117.
Galvin Legal is a national securities arbitration, mediation, fraud, and investor protection law practice. For more information on Galvin Legal, please visit www.galvinlegal.com or call 1-800-405-5117.
