{"id":19571,"date":"2021-02-16T13:05:24","date_gmt":"2021-02-16T19:05:24","guid":{"rendered":"https:\/\/www.investorlawyers.com\/blog\/?p=19571"},"modified":"2021-02-18T13:06:00","modified_gmt":"2021-02-18T19:06:00","slug":"triad-advisors-repay-194k-to-investors","status":"publish","type":"post","link":"https:\/\/www.investorlawyers.com\/blog\/triad-advisors-repay-194k-to-investors\/","title":{"rendered":"Triad Advisors To Pay $194K For Supervisory Failures Involving Short-Term Trading of Mutual Fund Class A Shares"},"content":{"rendered":"<h2><span style=\"font-weight: 400;\">Settlement in FINRA Case Involves Repaying Nearly $44K to Affected Customers<\/span><span style=\"font-weight: 400;\">\u00a0<\/span><\/h2>\n<p><span style=\"font-weight: 400;\">The Financial Industry Regulatory Authority (FINRA) has ordered Triad Advisors to pay a $150K fine for not adequately supervising both short-term trades involving Class A shares of mutual funds and variable annuity exchanges. The self-regulatory organization (SRO) also accused the Atlanta-headquartered broker-dealer of not making timely disclosures involving customer complaints and arbitration.<\/span><\/p>\n<p><span style=\"font-weight: 400;\">Triad Advisors, which is an Advisor Group network brokerage firm, consented to repay clients that were affected nearly $44k as part of its settlement for this case. It is not, however, denying or admitting to FINRA\u2019s findings.<\/span><\/p>\n<div class=\"read_more_link\"><a href=\"https:\/\/www.investorlawyers.com\/blog\/triad-advisors-repay-194k-to-investors\/\"  title=\"Continue Reading Triad Advisors To Pay $194K For Supervisory Failures Involving Short-Term Trading of Mutual Fund Class A Shares\" class=\"more-link\">Continue Reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"<p>Settlement in FINRA Case Involves Repaying Nearly $44K to Affected Customers\u00a0 The Financial Industry Regulatory Authority (FINRA) has ordered Triad Advisors to pay a $150K fine for not adequately supervising both short-term trades involving Class A shares of mutual funds and variable annuity exchanges. The self-regulatory organization (SRO) also accused the Atlanta-headquartered broker-dealer of not [&hellip;]<\/p>\n","protected":false},"author":2,"featured_media":19572,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"jetpack_post_was_ever_published":false,"footnotes":""},"categories":[3967,4521],"tags":[4257,4224],"class_list":["post-19571","post","type-post","status-publish","format-standard","has-post-thumbnail","hentry","category-failure-to-supervise","category-triad-advisors","tag-failure-to-supervise","tag-triad-advisors"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v27.4 - https:\/\/yoast.com\/product\/yoast-seo-wordpress\/ -->\n<title>Triad Advisors To Pay $194K For Supervisory Failures | Investor Lawyers<\/title>\n<meta name=\"description\" content=\"Triad Advisors have been ordered to pay over $194K after failing to supervise the trading of Class A shares and variable annuities.\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.investorlawyers.com\/blog\/triad-advisors-repay-194k-to-investors\/\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:title\" content=\"Triad Advisors To Pay $194K For Supervisory Failures | Investor Lawyers\" \/>\n<meta name=\"twitter:description\" content=\"Triad Advisors have been ordered to pay over $194K after failing to supervise the trading of Class A shares and variable annuities.\" \/>\n<meta name=\"twitter:image\" content=\"https:\/\/www.investorlawyers.com\/blog\/wp-content\/uploads\/2021\/02\/failure-to-supervise.jpg\" \/>\n<meta name=\"twitter:label1\" content=\"Written by\" \/>\n\t<meta name=\"twitter:data1\" content=\"Shepherd Smith Edwards &amp; 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