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 settled customer dispute and 4 pending customer disputes.
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.
In June 2021, in FINRA case #2019064242701, Just consented to the sanctions and to the entry of findings that he willfully failed to timely amend his Form U4 to disclose state tax liens. Sanctions were a three month suspension from FINRA from June 2021 to September 2021 and a $5,000 fine paid by Just individually.
In 3/2021 a Triad Advisors customer filed FINRA case #21-00829 alleging that Mark Just recommended real estate alternative investments that were unsuitable. The case settled for $8,750 in 6/2021.
From June of 2018 until February of 2021, 4 customer disputes were filed by Triad Advisors clients alleging that Just recommended alternative investments that were unsuitable for each of them. The total of alleged losses for these cases is almost $1.5 million dollars and these cases are still pending.
Just was been employed by Triad Advisors, Inc., from 1/2004-6/2021. Mark Just also discloses a business affiliation with The Just Company of Indianapolis, IN, a company that manages investments for RIA clients.
If you had an account with Mark Just that suffered losses, you may be entitled to collect damages from his prior employer. Call to discuss your options.
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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