Triad Advisors

Triad Advisor Dan Wagner Subject to $100K Complaint

Dan Wagner (CRD# 2867278), a respected financial advisor with a gold-standard 26-year history in South Carolina, has been swimming in some murky waters lately. According to the Financial Industry Regulatory Authority’s records, Wagner faced an investor complaint recently. Despite sitting as a broker with Arkadios Capital, an investment advisor with Wealth Management Advisors, and the […]

Triad Advisor Dan Wagner Subject to $100K Complaint Read More »

Triad Advisors Fined $510K Restitution and $195K For LJM Preservation and Growth Fund

Triad Advisors Fined $510K Restitution and $195K For LJM Preservation and Growth Fund

Failure to supervise its registered representatives has caused the Financial Industry Regulatory Authority (FINRA) to censure and a fine of $195K for Triad Advisors. The representatives in question had recommended the LJM Preservation and Growth Fund (LJM) to customers. According to FINRA, the required due diligence of the alternative mutual fund was not carried out

Triad Advisors Fined $510K Restitution and $195K For LJM Preservation and Growth Fund Read More »

Gene Esplin From Kalos Capital - Lawsuit FINRA

Gene Esplin, Kalos Capital – Lawsuit “FINRA”

Haselkorn & Thibaut is investigating potential sales practice and supervision issues related to a financial advisor, Gene Esplin, who was previously with Kalos Capital, Inc. (2015-2019), and with Triad Advisors, Inc. (2008-2015) in Pocatello, ID. The lawyers of Haselkorn & Thibaut, P.A. at investmentfraudlawyers.com have been investigating potential sales practice and supervision issues relating to

Gene Esplin, Kalos Capital – Lawsuit “FINRA” Read More »

Scroll to Top