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Dan Wagner, Jr Of Arkadios Capital And Formerly With Triad Advisors LLC Has 3 Customer Complaints For Alleged Broker Misconduct

Who is Dan Wagner, Jr of Arkadios Capital?

Dan Wagner, Jr

Dan Wagner, Jr (CRD #2867278) who is currently registered as a broker and investment adviser with Arkadios Capital and located in Greenville, South Carolina, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Arkadios Capital, Dan Wagner, Jr was associated with Triad Advisors LLC and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

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Dan Wagner, Jr Customer Complaints

Dan Wagner, Jr has been the subject of 3 customer complaints that we know about seeking to recover investment losses. Two of the customer complaints were denied by Uvest Financial Services Group in the investors took no further action. There is currently one customer complaint filed in a FINRA arbitration proceeding against Triad Advisors and Arkadios Capital that is still pending.

Allegations Against Dan Wagner, Jr

A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows:

  • Negligent recommendation of investment product.
  • Advisor recommended a variable annuity contract with an income protection rider but failed to disclose all fees associated with the product.
  • Misrepresentation of the terms and risks associated with the variable annuity contract.

Dan Wagner, Jr Red Flags & Your Rights As An Investor

Of course, Dan Wagner, Jr did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Dan Wagner, Jr at Arkadios Capital and Triad Advisors LLC on alert to review carefully the activity and performance of their accounts and question whether Dan Wagner, Jr has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Arkadios Capital and Triad Advisors LLC also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.

Did You Lose Money Because of Broker Misconduct?

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If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.

Need Legal Help? Let’s talk.

or, give us a ring at 561-338-0037.

File A Claim To Recover Your Investment Losses At Arkadios Capital Due To Dan Wagner, Jr

If you have questions about Arkadios Capital, Triad Advisors LLC and/or Dan Wagner, Jr and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Robert Wayne Pearce

Robert Wayne Pearce of The Law Offices of Robert Wayne Pearce, P.A. has been a trial attorney for more than 40 years and has helped recover over $170 million dollars for his clients. During that time, he developed a well-respected and highly accomplished legal career representing investors and brokers in disputes with one another and the government and industry regulators. To speak with Attorney Pearce, call (800) 732-2889 or Contact Us online for a FREE INITIAL CONSULTATION with Attorney Pearce about your case.

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