Investors potentially experienced sales practice violations by securities broker Dan Edward Wagner Jr. [CRD: 2867278, Greenville, South Carolina], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Wagner worked for Triad Advisors LLC from May 19, 2014, to April 5, 2021, and has been registered with Arkadios Capital since April 1, 2021, while also affiliated with Wealth Management Advisors LLC since May 20, 2014. See the following information to learn more about Wagner’s disclosures.
Evidently, a Triad Advisors LLC client filed FINRA Arbitration No. 23-02579 about Dan Wagner. Mainly, the client alleged that Wagner made unsuitable recommendations involving real estate securities and direct investments tied to limited partnerships. For this reason, the client allegedly sustained damages pertaining to the real estate securities and direct investments. Therefore, on October 3, 2023, Triad Advisors LLC settled this matter by paying the client $75,000 in damages.
Additionally, a client of Triad Advisors LLC contested Wagner’s sales practices by filing FINRA Arbitration No. 23-01598. Allegedly, Wagner was negligent in recommending direct investments involving limited partnerships. It appears that Wagner allegedly caused the client to suffer damages relating to those direct investments. Consequently, Triad Advisors LLC opted to settle the matter on June 21, 2024, by compensating the client in the amount of $60,000.
Do you have questions or concerns regarding investments you made with Dan Wagner? If so, reach out to Soreide Law Group online or at (888) 760-6552 and speak with a securities attorney regarding a possible recovery of your investment losses. Soreide Law Group has recovered losses for hundreds of investors throughout the country. Also, the firm works on a contingency fee basis and advances all costs. Wagner and brokerage firms Wagner worked for deny any accusations of sales practice violations.
JOHN LAWRENCE ALEX (JOHN L ALEX) has been registered both as a broker and financial advisor with MORGAN STANLEY of Morristown, New Jersey, since11/15/2011. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, JOHN L ALEX has 36 years of experience in the securities industry and has been registered with 4 firms. Alex […]
JOSEPH KELLY (JOE KELLY) has been registered as a broker with VCS VENTURE SECURITIES of New York, NY since 6/17/2026. He was previously registered with SPARTAN CAPITAL SECURITIES LLC of New York, NY from 01/13/2017 - 12/18/2024. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, JOSEPH KELLY has 21 years of experience […]
Soreide Law Group has filed a FINRA arbitration on behalf of our clients (Claimants) against: CENTAURUS FINANCIAL, INC (Respondent). The Claimants reside in Arizona and are retired. The Claimants were seeking stable investments that would provide them with income. The lawsuit states that the Claimants have a long-standing relationship with CENTAURUS FINANCIAL and its Financial Advisor, […]
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