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.
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Investors potentially incurred losses because of securities broker Cooper Morgan Carden [CRD: 6902893, Hoover, Alabama], given the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Cooper Carden worked for Northwestern Mutual Investment Services LLC from December 10, 2019, to March 17, 2026. See below to find out more about the securities broker’s disclosures. Northwestern Mutual […]
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