Public records published by the Financial Industry Regulatory Authority (FINRA) on May 30, 2016 indicate that former Ohio-based Triad Advisors broker/adviser Gary Rathbun has been permanently barred from acting as a broker or otherwise associating with firms that sell securities to the public. The securities and investment fraud law firm Fitapelli Kurta is interested in…

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Fitapelli Kurta is currently investigating complaints against Triad Advisors, Inc. On March 12, 2014, FINRA ordered Triad to consent to a $650,000 fine as well as customer restitution of at least $375,000 for failing to maintain an adequate supervisory system.  As a result of Triad’s failed supervisory system, the FINRA complaint stated that brokers were…

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