{"id":21368,"date":"2022-01-12T11:09:57","date_gmt":"2022-01-12T17:09:57","guid":{"rendered":"https:\/\/www.investorlawyers.com\/blog\/?p=21368"},"modified":"2022-03-23T13:29:53","modified_gmt":"2022-03-23T18:29:53","slug":"triad-advisors-ljm-fund-sale-fines","status":"publish","type":"post","link":"https:\/\/www.investorlawyers.com\/blog\/triad-advisors-ljm-fund-sale-fines\/","title":{"rendered":"Triad Advisors To Pay $195K Fine and More Than $510K in Restitution For LJM Fund Sales"},"content":{"rendered":"

FINRA Said Triad Brokers Unsuitably Recommended LJM Preservation and Growth Fund<\/span><\/h2>\n

In December 2021, the Financial Industry Regulatory Authority (FINRA) censured and fined <\/span>Triad Advisors<\/span><\/a> $195K for allegedly failing to supervise its registered representatives that unsuitably recommended the <\/span>LJM Preservation and Growth Fund (LJM)<\/span><\/a> to customers.\u00a0<\/span><\/p>\n

The self-regulatory organization (SRO) contends that the broker-dealer allowed the sales to go through without first conducting the proper due diligence into the LJM Fund – especially while not having enough understanding about the Fund\u2019s features and the risks involved.\u00a0<\/span><\/p>\n

Continue Reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"

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.\u00a0 The self-regulatory organization (SRO) contends that the broker-dealer allowed […]<\/p>\n","protected":false},"author":2,"featured_media":21369,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"jetpack_post_was_ever_published":false,"footnotes":""},"categories":[4671,4521],"tags":[4672,3004,3604],"class_list":["post-21368","post","type-post","status-publish","format-standard","has-post-thumbnail","hentry","category-ljm-preservation-growth-fund","category-triad-advisors","tag-ljm-fund","tag-ljm-preservation-and-growth-fund","tag-triad-advisers"],"yoast_head":"\nTriad Advisors Fined Over $500K For LJM Fund Sales | Investor Lawyers<\/title>\n<meta name=\"description\" content=\"Triad Advisors is being ordered by FINRA to pay fines and restitution after unsuitably selling the LJM Fund to investors.\" \/>\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-ljm-fund-sale-fines\/\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:title\" content=\"Triad Advisors Fined Over $500K For LJM Fund Sales | Investor Lawyers\" \/>\n<meta name=\"twitter:description\" content=\"Triad Advisors is being ordered by FINRA to pay fines and restitution after unsuitably selling the LJM Fund to investors.\" \/>\n<meta name=\"twitter:image\" content=\"https:\/\/www.investorlawyers.com\/blog\/wp-content\/uploads\/2022\/01\/pexels-sora-shimazaki-5668473-1.jpg\" \/>\n<meta name=\"twitter:label1\" 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