Investors might have sustained losses due to securities broker Jeffrey Charles Paladini (also known as Jeff Paladini) [CRD: 4341198, Fort Worth, Texas], based on public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Paladini worked for Arkadios Capital from December 21, 2022, to May 23, 2024, and for BD4RIA Inc. from March 8, 2018, to February 17, 2023, both in Texas. Read on to discover more about the disclosures concerning Paladini.
Notably, on November 28, 2023, a Triad Advisors LLC client filed FINRA Arbitration No. 23-03363 about Jeffrey Paladini. Mainly, the client alleged that Paladini made unsuitable recommendations and failed to disclose information about direct investments. Because of this, the client allegedly sustained damages. As a result, the client requested $50,000 in compensation from Triad Advisors LLC or Paladini. This arbitration is pending a resolution.
Also, a Triad Advisors LLC client filed FINRA Arbitration No. 22-02115 about Jeffrey Paladini. Primarily, the client alleged that Paladini gave unsuitable advice about certain business development company (BDC) products. For this reason, on August 14, 2023, Triad Advisors LLC settled this matter by paying the client $14,500 in damages.
Additionally, a client of Triad Advisors LLC contested Jeffrey Paladini’s sales practices by bringing FINRA Arbitration No. 19-02567. Allegedly, Paladini made unsuitable recommendations regarding a direct investment in GPB Holdings. It appears that Paladini caused the client to sustain damages. Therefore, Triad Advisors LLC opted to settle the matter on November 18, 2020, by compensating the client in the amount of $25,000.
Are you concerned regarding investments you made with Jeffrey Paladini? You should reach out to Soreide Law Group online or at (888) 760-6552 and consult with a securities attorney about a possible recovery of your investment losses. For years, Soreide Law Group has recovered losses for clients throughout the country. The firm also works on a contingency fee basis and advances all costs. Paladini and brokerage firms Paladini worked for deny all allegations of sales practice violations.
Moors & Cabot, Inc. (CRD 594) is a brokerage firm based in Boston, Massachusetts. FINRA censured and fined the firm $125,000 after finding it failed to develop and implement an anti-money laundering compliance program reasonably expected to detect and report suspicious transactions, according to an AWC issued August 24, 2026.
Cowen and Company, LLC (CRD 7616), now part of TD Securities (USA) LLC, is a brokerage firm based in New York, New York. FINRA censured and fined the firm a total of $80,000, of which $40,000 is payable to FINRA, according to an AWC issued August 19, 2026.
Webull Financial LLC (CRD 289063) is a brokerage firm based in New York, New York. FINRA censured and fined the firm $115,000 after finding it maintained inaccurate books and records of options order origin codes, according to an AWC issued August 17, 2026.
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