Category: Triad Advisors

Did You Lose Money Because of Richard Robertson?

Filed: March 21, 2024

Richard Robertson (also known as Keith Robertson, RK Robertson) currently has one (1) pending investigation. Overall, he has been the subject of one (1) regulatory event, one (1) investigation, and one (1) customer complaint. As an investor, you may be entitled to compensation for losses accrued due to mismanagement of your investments.

Let’s begin our Patil Law Advisor Alert with a summary report on Richard Keith Robertson.

Who Is Richard Keith Robertson?

• Advisor Name: Richard Keith Robertson
• Aliases: Keith Robertson, RK Robertson
• CRD: 2233786
• Location: San Diego, California
• Current Employer: No Longer Allowed to Practice in the Securities Industry
• Previous Firms: Triad Advisors LLC, LPL Financial LLC, and NRP Financial, Inc.
• Number of Known Customer Complaints: 1
• Number of Known Investigations: 1
• Number of Known Termination Events: 1
• Can Richard Robertson Be Sued: Yes, in Private Arbitration
• Can Richard Robertson’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
• Highest Damages Allegation: $18,000
• Highest Settlement: Unknown

If you have suffered investment losses by Richard Robertson, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining a stockbroker lawyer. Reach out to the legal team at Patil Law, P.C. via the secure online form or call the firm directly toll-free at 1-800-950-6553.

Customer Complaints Filed Against Richard Robertson For Broker Misconduct

As of this publication date, Richard Robertson has been the subject of 1 regulatory event, 1 investigation, and 1 customer dispute. Let’s review them below.

In August 2022, United States Securities and Exchange Commission initiated a regulatory action against or in reference to Richard Robertson for allegedly engaging in undisclosed “cherry-picking,” a practice of fraudulently allocating profitable trades to favored accounts at the expense of his advisory clients.

In October 2020, United States Securities and Exchange Commission initiated an investigation against or in reference to Richard Robertson regarding his personal and client trade allocations.

In August 2002, a complaint was filed against or in reference to Richard Robertson by a customer of UBS Financial Services Inc. alleging unauthorized trades using margin. Per the customer, he/she lost over $18,000 because of Mr. Robertson’s actions.

How To File A Claim Against Richard Robertson (previously with Triad Advisors LLC, LPL Financial LLC, and NRP Financial, Inc.) To Get Your Money Back

If you have questions about Richard Robertson, Triad Advisors LLC, LPL Financial LLC, NRP Financial, Inc., or the management or performance of your accounts, please contact Attorney Patil for a free initial consultation via email or toll-free at 1-800-950-6553.

Did You Lose Money Because of Jefferey Sorensen?

Filed: March 12, 2024

Jefferey Sorensen (also known as Jeff Sorensen, Jeffrey M Sorensen) currently has one (1) pending customer complaint. Overall, he has been the subject of three (3) customer complaints. As an investor, you may be entitled to compensation for losses accrued due to mismanagement of your investments.

Let’s begin our Patil Law Advisor Alert with a summary report on Jefferey M Sorensen.

Who Is Jefferey M Sorensen of Triad Advisors LLC and Triad Hybrid Solutions?

• Advisor Name: Jefferey M Sorensen
• Aliases: Jeff Sorensen, Jeffrey M Sorensen
• CRD: 1623946
• Location: Westlake Village, California
• Current Employer: Triad Advisors LLC and Triad Hybrid Solutions
• Previous Firms: Summit Financial Consultants, Inc., Sorensen Wealth Management, Inc., and TransAmerica Financial Advisors, Inc.
• Number of Known Customer Complaints: 3
• Can Jefferey Sorensen Be Sued: Yes, in Private Arbitration
• Can Jefferey Sorensen’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
• Highest Damages Allegation: $436,200
• Highest Settlement: $141,500

If you have suffered investment losses by Jefferey Sorensen, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining a stockbroker fraud lawyer. Reach out to the legal team at Patil Law, P.C. via the secure online form or call the firm directly toll-free at 1-800-950-6553.

Customer Complaints Filed Against Jefferey Sorensen For Broker Misconduct

As of this publication date, Jefferey Sorensen has been the subject of 3 customer disputes. Let’s review them below.

In February 2023, a FINRA arbitration was filed against or in reference to Jefferey Sorensen by a customer of Triad Advisors LLC alleging misrepresentation and unsuitable recommendations regarding the sale of two alternative investments. Per the customer, he/she lost over $190,000 because of Mr. Sorensen’s actions. As of this publication date, this claim remains pending.

In August 2021, a FINRA arbitration was filed against or in reference to Jefferey Sorensen by multiple customers of Triad Advisors LLC alleging that certain alternative product recommendations did not meet their needs and objectives. Per the customers, they lost over $436,200 because of Mr. Sorensen’s actions. On January 19, 2023, Mr. Sorensen settled the claim for $141,500, and some or all of this amount may have been paid by Mr. Sorensen’s employer and/or insurance carrier.

In January 2021, a FINRA arbitration was filed against or in reference to Jefferey Sorensen by a customer of Triad Advisors LLC alleging that certain alternative product recommendations did not meet his needs and objectives. Per the customer, he lost over $114,000 because of Mr. Sorensen’s actions. On May 2, 2023, Mr. Sorensen settled the claim for $26,000, and some or all of this amount may have been paid by Mr. Sorensen’s employer and/or insurance carrier.

How To File A Claim Against Jefferey Sorensen of Triad Advisors LLC and Triad Hybrid Solutions (previously with Summit Financial Consultants, Inc., Sorensen Wealth Management, Inc., and TransAmerica Financial Advisors, Inc.) To Get Your Money Back

If you have questions about Jefferey Sorensen, Triad Advisors LLC, Triad Hybrid Solutions, Summit Financial Consultants, Inc., Sorensen Wealth Management, Inc., TransAmerica Financial Advisors, Inc., or the management or performance of your accounts, please contact Attorney Patil for a free initial consultation via email or toll-free at 1-800-950-6553.

Did You Lose Money Because of Jason Lavigne?

Filed: March 6, 2024

Jason Lavigne currently has one (1) pending customer complaint. Overall, he has been the subject of one (1) customer complaint. As an investor, you may be entitled to compensation for losses accrued due to mismanagement of your investments.

Let’s begin our Patil Law Advisor Alert with a summary report on Jason Michael Lavigne.

Who Is Jason Michael Lavigne of Triad Advisors LLC and Blue Water Financial LLC?

• Advisor Name: Jason Michael Lavigne
• Aliases: Jason Lavigne
• CRD: 4499856
• Location: Easton, Pennsylvania
• Current Employer: Triad Advisors LLC and Blue Water Financial LLC
• Previous Firms: ING Financial Partners, Inc.
• Number of Known Customer Complaints: 1
• Can Jason Lavigne Be Sued: Yes, in Private Arbitration
• Can Jason Lavigne’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
• Highest Damages Allegation: $203,000
• Highest Settlement: Unknown

If you have suffered investment losses by Jason Lavigne, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining an investment fraud lawyer. Reach out to the legal team at Patil Law, P.C. via the secure online form or call the firm directly toll-free at 1-800-950-6553.

Customer Complaints Filed Against Jason Lavigne For Broker Misconduct

As of this publication date, Jason Lavigne has been the subject of 1 customer dispute. Let’s review it below.

In November 2023, a FINRA arbitration was filed against or in reference to Jason Lavigne by multiple customers of Triad Advisors LLC alleging that Mr. Lavigne sold them alternative investments that were unsuitable. Per the customers, they lost over $203,000 because of Mr. Lavigne’s actions. As of this publication date, this claim remains pending.

How To File A Claim Against Jason Lavigne of Triad Advisors LLC and Blue Water Financial LLC (previously with ING Financial Partners, Inc.) To Get Your Money Back

If you have questions about Jason Lavigne, Triad Advisors LLC, Blue Water Financial LLC, ING Financial Partners, Inc., or the management or performance of your accounts, please contact Attorney Patil for a free initial consultation via email or toll-free at 1-800-950-6553.

Did You Lose Money Because of David Witter?

Filed: March 4, 2024

David Witter has been the subject of one (1) regulatory event and one (1) customer complaint. As an investor, you may be entitled to compensation for losses accrued due to mismanagement of your investments.

Let’s begin our Patil Law Advisor Alert with a summary report on David Alan Witter.

Who Is David Alan Witter?

• Advisor Name: David Alan Witter
• Aliases: David Witter
• CRD: 4519401
• Location: Winter Park, Florida
• Current Employer: Currently Not Registered
• Previous Firms: Triad Advisors, Inc., USA Financial Securities Corporation, and Gunnallen Financial, Inc
• Number of Known Customer Complaints: 1
• Number of Known Regulatory Events: 1
• Can David Witter Be Sued: Yes, in Private Arbitration
• Can David Witter’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
• Highest Damages Allegation: $18,004.55
• Highest Settlement: $17,500

If you have suffered investment losses by David Witter, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining an investment fraud lawyer. Reach out to the legal team at Patil Law, P.C. via the secure online form or call the firm directly toll-free at 1-800-950-6553.

Customer Complaints Filed Against David Witter For Broker Misconduct

As of this publication date, David Witter has been the subject of 1 regulatory event and 1 customer dispute. Let’s review them below.

In August 2011, FINRA initiated a regulatory action against or in reference to David Witter for failing to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance.

In January 2011, a FINRA arbitration was filed against or in reference to David Witter by multiple customers of USA Financial Securities Corporation alleging that the money manager account and REIT Mr. Witter sold them were not suitable. Per the customers, they lost over $18,004.55 because of Mr. Witter’s actions. An arbitration panel found that David Witter was negligent and awarded $17,500 in favor of the customers.

How To File A Claim Against David Witter (previously with Triad Advisors, Inc., USA Financial Securities Corporation, and Gunnallen Financial, Inc) To Get Your Money Back

If you have questions about David Witter, Triad Advisors, Inc., USA Financial Securities Corporation, Gunnallen Financial, Inc, or the management or performance of your accounts, please contact Attorney Patil for a free initial consultation via email or toll-free at 1-800-950-6553.

Did You Lose Money Because of Michael Hensley?

Filed: February 15, 2024

Michael Hensley currently has one (1) pending customer complaint. Overall, he has been the subject of one (1) customer complaint. As an investor, you may be entitled to compensation for losses accrued due to mismanagement of your investments.

Let’s begin our Patil Law Advisor Alert with a summary report on Michael Jay Hensley.

Who Is Michael Jay Hensley?

• Advisor Name: Michael Jay Hensley
• Aliases: Michael Hensley
• CRD: 4052660
• Location: Raleigh, North Carolina
• Current Employer: Currently Not Registered
• Previous Firms: Triad Advisors, LLC, Commonwealth Financial Network, and Capital Investment Group, Inc.
• Number of Known Customer Complaints: 1
• Can Michael Hensley Be Sued: Yes, in Private Arbitration
• Can Michael Hensley’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
• Highest Damages Allegation: $100,000
• Highest Settlement: Unknown

If you have suffered investment losses by Michael Hensley, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining an investment fraud lawyer. Reach out to the legal team at Patil Law, P.C. via the secure online form or call the firm directly toll-free at 1-800-950-6553.

Customer Complaints Filed Against Michael Hensley For Broker Misconduct

As of this publication date, Michael Hensley has been the subject of 1 customer dispute. Let’s review it below.

In August 2023, a FINRA arbitration was filed against or in reference to Michael Hensley by a customer of Triad Advisors, LLC alleging that fair and balanced disclosures regarding the high-risk nature of non-traded products were not made. Per the customer, he/she lost over $100,000 because of Mr. Hensley’s actions. As of this publication date, this claim remains pending.

How To File A Claim Against Michael Hensley (previously with Triad Advisors, LLC, Commonwealth Financial Network, and Capital Investment Group, Inc.) To Get Your Money Back

If you have questions about Michael Hensley, Triad Advisors, LLC, Commonwealth Financial Network, Capital Investment Group, Inc., or the management or performance of your accounts, please contact Attorney Patil for a free initial consultation via email or toll-free at 1-800-950-6553.

Did You Lose Money Because of John Matteoni?

Filed: February 9, 2024

John Matteoni (also known as Michael Matteoni) currently has one (1) pending customer complaint. Overall, he has been the subject of one (1) customer complaint. As an investor, you may be entitled to compensation for losses accrued due to mismanagement of your investments.

Let’s begin our Patil Law Advisor Alert with a summary report on John Michael Matteoni.

Who Is John Michael Matteoni of Triad Advisors, LLC?

• Advisor Name: John Michael Matteoni
• Aliases: Michael Matteoni
• CRD: 4177784
• Location: Reno, Nevada
• Current Employer: Triad Advisors, LLC
• Previous Firms: Securities America Advisors, Inc., Securities America, Inc., and Brecek & Young Advisors, Inc.
• Number of Known Customer Complaints: 1
• Can John Matteoni Be Sued: Yes, in Private Arbitration
• Can John Matteoni’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
• Highest Damages Allegation: $100,000
• Highest Settlement: Unknown

If you have suffered investment losses by John Matteoni, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining a portfolio mismanagement lawyer. Reach out to the legal team at Patil Law, P.C. via the secure online form or call the firm directly toll-free at 1-800-950-6553.

Customer Complaints Filed Against John Matteoni For Broker Misconduct

As of this publication date, John Matteoni has been the subject of 1 customer dispute. Let’s review it below.

In January 2024, a FINRA arbitration was filed against or in reference to John Matteoni by multiple customers of Triad Advisors, LLC alleging that Mr. Matteoni sold the clients alternative investments that were unsuitable. Per the customers, they lost over $100,000 because of Mr. Matteoni’s actions. As of this publication date, this claim remains pending.

How To File A Claim Against John Matteoni of Triad Advisors, LLC (previously with Securities America Advisors, Inc., Securities America, Inc., and Brecek & Young Advisors, Inc.) To Get Your Money Back

If you have questions about John Matteoni, Triad Advisors, LLC, Securities America Advisors, Inc., Securities America, Inc., Brecek & Young Advisors, Inc., or the management or performance of your accounts, please contact Attorney Patil for a free initial consultation via email or toll-free at 1-800-950-6553.

Did You Lose Money Because of Jason La Vigne?

Filed: January 30, 2024

Jason La Vigne currently has one (1) pending customer complaint. Overall, he has been the subject of one (1) customer complaint. As an investor, you may be entitled to compensation for losses accrued due to mismanagement of your investments.

Let’s begin our Patil Law Advisor Alert with a summary report on Jason Michael La Vigne.

Who Is Jason Michael La Vigne of Triad Advisors LLC and Blue Water Financial LLC?

• Advisor Name: Jason Michael La Vigne
• Aliases: Jason La Vigne
• CRD: 4499856
• Location: Easton, Pennsylvania
• Current Employer: Triad Advisors LLC and Blue Water Financial LLC
• Previous Firms: ING Financial Partners, Inc.
• Number of Known Customer Complaints: 1
• Can Jason La Vigne Be Sued: Yes, in Private Arbitration
• Can Jason La Vigne’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
• Highest Damages Allegation: $203,000
• Highest Settlement: Unknown

If you have suffered investment losses by Jason La Vigne, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining a stockbroker fraud lawyer. Reach out to the legal team at Patil Law, P.C. via the secure online form or call the firm directly toll-free at 1-800-950-6553.

Customer Complaints Filed Against Jason La Vigne For Broker Misconduct

As of this publication date, Jason La Vigne has been the subject of 1 customer dispute. Let’s review it below.

In December 2023, a complaint was filed against or in reference to Jason La Vigne by multiple customers of Triad Advisors LLC alleging that Mr. La Vigne sold them alternative investments that were unsuitable. Per the customers, they lost over $203,000 because of Mr. La Vigne’s actions. As of this publication date, this claim remains pending.

How To File A Claim Against Jason La Vigne of Triad Advisors LLC and Blue Water Financial LLC (previously with ING Financial Partners, Inc.) To Get Your Money Back

If you have questions about Jason La Vigne, Triad Advisors LLC, Blue Water Financial LLC, ING Financial Partners, Inc., or the management or performance of your accounts, please contact Attorney Patil for a free initial consultation via email or toll-free at 1-800-950-6553.