Can you recover losses due to recommendations by former Triad Advisors LLC broker Dan Wagner Jr. (CRD# 2867278)? He has been registered with Arkadios Capital in Greenville, South Carolina, since 2021, and with Wealth Management Advisors, LLC in Anderson, South Carolina, since 2014. Previously, he was registered with Triad Advisors LLC in Greenville, South Carolina, from 2014 to 2021.
Dan Wagner Jr. Customer Complaints
He has been the subject of two customer complaints between 2007 and 2023, one of which was closed without action and two were denied, according to his CRD report:
September 2023. “Customer alleges REIT and LP investments made in 2015 were unsuitable.” The customer is seeking $189,550 in damages, and the case is currently pending. The complaint was regarding direct investments and real estate security losses, and the complaint took place while he was registered with Triad Advisors LLC.
Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, Triad Advisors LLC may be liable for investment or other losses suffered by Dan Wagner Jr.’s customers.
Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If you have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.
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