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Triad Advisors LLC

Date:

April 3, 2025

Type of alert:

Failure to Supervise  

The SEC has sanctioned Triad Advisors LLC for failing to supervise a former representative who engaged in fraudulent securities sales. According to the settlement, Triad failed to detect and prevent the misconduct, allowing the representative to sell unregistered and unsuitable investments to clients.

Without admitting or denying the findings, Triad Advisors agreed to a financial penalty and compliance measures to resolve the issue. The SEC emphasized the importance of robust oversight to protect investors from adviser misconduct.

If you invested with Triad Advisors and suffered losses due to supervisory failures, contact ChapmanAlbin for a free consultation to discuss your recovery options.

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