Kenneth A. Luccioni Investigation
May 2022-Park Ridge, IL
The FINRA records of Kenneth A. Luccioni, a former stock broker who was last employed in the industry by Triad Advisors, Inc. , disclose a regulatory matter and a pending customer dispute.
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
FINRA records disclose that Kenneth A. Luccioni was permanently barred from the securities industry by FINRA in November of 2018 for failing to provide documents and information to FINRA in connection with an investigation into whether he had failed to disclose federal and state tax liens on his regulatory disclosure forms.
In 3/2022 a customer of Triad Advisors was paid $125,000 to resolve a FINRA arbitration in which the customer alleged that Luccioni over concentrated her account in volatile energy sector securities that were unsuitable.
Luccioni was employed by Triad Advisors, Inc. from November of 2000 until December of 2016.
If you have losses in an account handled by Kenneth A. Luccioni call to learn how you may be entitled to collect damages through FINRA arbitration.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
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