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Category Triad Advisors

Triad Advisors LLC Financial Advisor Darrin Cohen Has Two Customer Complaints, Alleging Sales Practice Misconduct

August 17, 2021

Darrin Cohen (CRD#: 2488435) is a dually registered Broker and Investment Advisor at Triad Advisors LLC in Alpharetta, GA. He entered the securities industry in 1994 and previously worked for Kovack Securities, Inc.; Resource Horizons Investment Advisory, Inc.; Resource Horizons Group, LLC; OneAmerica Securities, Inc.; Mony Securities Corporation; Waddell & Reed, Inc.; The Advisors Group,…

FINRA Sanctions Triad Advisors, LLC for Violating Rules on Supervision of Advisors

February 28, 2021

After completing an investigation into allegations of improper securities trades at Triad Advisors, LLC, the Financial Industry Regulatory Authority (FINRA) sanctioned the company for failing to supervise its advisors, as member firms are required to do. The member firm has been part of FINRA for more than 30 years and is based in Atlanta, GA.…

Triad Investors LLC, Broker and The Just Company Investment Adviser, Mark Just, Has Six Customer Complaints, Including Complaints For The Sale Of Alternative Investments

January 17, 2021

Mark Just (CRD#: 1138738) has been a registered broker with Triad Investors, LLC since 2004; he is also an investment adviser with The Just Company since 1991. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on August 26, 2020, a customer dispute was filed against Mark Just for unsuitable alternative…

Did You Purchase GPB Capital Holdings From Triad Advisors LLC Broker, Lee Duckworth?

October 4, 2020

Lee Duckworth (CRD # 2097591) is a Financial Advisor at Triad Advisors LLC in West Warwick, RI. Lee Duckworth has been in the securities industry since 1991 and previously worked at Steele Capital Management, Inc., NFP Securities, Inc., Robert W. Baird & Co. Incorporated, and Northwestern Mutual Investment Services, LLC. As previously reported on this…

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