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Mark Just – Former Triad Advisors Broker-Discloses Regulatory Event & Customer Suits- Indianapolis, IN
Mark Just – Former Triad Advisors Broker-Discloses Regulatory Event & Customer Suits- Indianapolis, IN 150 150 ER

August 2021 – Indianapolis, IN According to publicly available records of Mark William Just (CRD#1138738) ,  a broker who was last employed with Triad Advisors, Inc.,  discloses  a regulatory event, a…

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  • Robert Rex, Esq.

Darrin Cohen-Triad Advisors Broker-Discloses $600K in Pending Customer Disputes- Alpharetta, GA
Darrin Cohen-Triad Advisors Broker-Discloses $600K in Pending Customer Disputes- Alpharetta, GA 150 150 Robert Rex, Esq.

June 2021- Alpharetta, GA According to publicly available records,   Triad Advisors, Inc. financial advisor Darrin Cohen,  discloses 2 pending customer disputes. The Financial Industry Regulatory Authority (FINRA) is the agency that…

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  • Robert Rex, Esq.

Triad Advisors to Pay $194,000 in Fines and Restitution for Allowing Churning of Accounts
Triad Advisors to Pay $194,000 in Fines and Restitution for Allowing Churning of Accounts 150 150 Robert Rex, Esq.

February 2020-Norcross, GA FINRA reports that Triad Advisors,LLC,  a national, independent broker-dealer and multi-custodial SEC-Registered Investment Advisor, headquartered in Atlanta, has been fined and ordered to pay restitution to customers…

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  • Robert Rex, Esq.

Mark Alex Reffett- Former Triad Advisors Broker- Discloses $1.5 Million Customer Dispute- Atlanta, GA
Mark Alex Reffett- Former Triad Advisors Broker- Discloses $1.5 Million Customer Dispute- Atlanta, GA 150 150 Robert Rex, Esq.

November 2020- Atlanta, GA According to publicly available records, former Triad Advisors broker Mark Alex Reffett  discloses a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency that…

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  • Robert Rex, Esq.

Daniel Davila, III- Purshe Kaplan Sterling Broker-Discloses Customer Suit Over REIT Investments-Austin, TX
Daniel Davila, III- Purshe Kaplan Sterling Broker-Discloses Customer Suit Over REIT Investments-Austin, TX 150 150 Robert Rex, Esq.

January  2019-Austin, TX According to public records of Daniel Davila, III (CRD#1686004)  a  stockbroker employed by Purshe Kaplan Sterling Investments, discloses the recent resolution of a customer suit. The Financial Industry Regulatory…

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