Triad Advisors Complaints: Investor Notice

Triad Advisors, an Advisor Group network brokerage firm, has been asked by the Financial Industry Regulatory Authority (FINRA) to pay a fine of $150K for supervisory failures pertaining to short-term trades involving Class A shares of mutual funds and variable annuity exchanges, in addition to repayment of $44K to customers financially affected by their failures. …

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