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Triad Advisors

Nathan Katz- Former American Independent Securities Broker- Discloses Regulatory Event and Customer Suits-Largo, FL
Nathan Katz- Former American Independent Securities Broker- Discloses Regulatory Event and Customer Suits-Largo, FL 150 150 Rex Securities Law

September 2021- Largo, FL  According to publicly available records,  Nathan G. Katz a former financial advisor who was previously registered with American Independent Securities Group, discloses a regulatory event barring him from…

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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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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 Rex Securities Law

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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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 Rex Securities Law

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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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 Rex Securities Law

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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David Mirolli-Kalos Capital, inc. Broker- Discloses Settled Customer dispute-Alpharetta, GA
David Mirolli-Kalos Capital, inc. Broker- Discloses Settled Customer dispute-Alpharetta, GA 150 150 Rex Securities Law

November 2020- Alpharetta, GA According to publicly available records, Kalos Capital, Inc.  broker David Mirolli discloses a settled customer dispute and 2 pending customer disputes. The Financial Industry Regulatory Authority (FINRA) is the agency…

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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 Rex Securities Law

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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Rebecca H. True of True Capital Advisors Discloses Customer Dispute Over Alternative Investments-
Rebecca H. True of True Capital Advisors Discloses Customer Dispute Over Alternative Investments- 150 150 Rex Securities Law

April 2017-Orlando, FL The FINRA records of  Rebecca H. True ,  a  stockbroker who is currently registered with Triad Advisors disclose a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency that…

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Christopher T. Tolmacs-Former Triad Advisors Broker-Ordered to Pay Customer $1.5M-Columbia, S. Carolina
Christopher T. Tolmacs-Former Triad Advisors Broker-Ordered to Pay Customer $1.5M-Columbia, S. Carolina 150 150 Rex Securities Law

August 2016- Columbia, South Carolina September 2017 UPDATE-A FINRA arbitration panel in Columbia, South Carolina awarded two former clients of Christopher Thomas Tolmacs $1.2 million in compensatory damages and $300,000 in…

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