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Articles Posted in LJM Preservation & Growth Fund

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Triad Advisors To Pay $195K Fine and More Than $510K in Restitution For LJM Fund Sales

FINRA Said Triad Brokers Unsuitably Recommended LJM Preservation and Growth Fund In December 2021, the Financial Industry Regulatory Authority (FINRA) censured and fined Triad Advisors $195K for allegedly failing to supervise its registered representatives that unsuitably recommended the LJM Preservation and Growth Fund (LJM) to customers.  The self-regulatory organization (SRO)…

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