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Darrin Barton Farrow formerly with Royal Alliance Associates Has 3 Customer Complaints For Alleged Broker Misconduct In the Past Year

Who is Darrin B. Farrow formerly with Triad Advisors, Inc.?

Darrin Farrow (CRD #1995240) who was formerly registered with Triad Advisors, Inc. and located in Rocky River, Ohio is a subject of one of our many securities industry sales practice abuse investigations. Prior to Triad Advisors, Inc., Darrin Farrow was associated with Royal Alliance Associates, Inc. and 6 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Darrin Farrow is no longer employed in the securities industry. In June 2016, he consented, without admitting or denying, the findings of FINRA that he founded an entity providing consulting services to the cannabis industry, that he also formed a company that grows and supplies cannabis to dispensaries. FINRA’s dispute with Darrin Farrow arose out of his failure to disclose and get approval of private securities transactions with firm customers who invested over $1 million in the companies he formed. The undisclosed participation in private securities transactions violated the FINRA Rules 3270 and 2010. As a result of these rule violations, Darrin Farrow is permanently barred from association with any FINRA member firm in any capacity. He is also subject to a cease and State of Ohio

Royal Alliance Associates Broker Misconduct

In his career, Darrin Farrow has been the subject of 6 customer complaints that we know about, 3 of those complaints were filed in the last year to recover investment losses. All those complaints arose in connection with his employment at Royal Alliance Associates. Two of Darrin Farrow’s 6 customer complaints were settled in favor of investors. There are currently 3 pending customer complaints filed against Darrin Farrow’s former employer, Royal Alliance Associates for investment losses caused by his alleged misconduct.

Allegations Against Darrin Farrow

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

  • Sale of the product that was not approved by Royal Alliance Associates.
  • Claimant alleged that an annuity recommendation made by financial advisor was not suitable.
  • The customer alleged misrepresentation regard to non-traded REIT investments.

Darrin Farrow Red Flags & Your Rights As An Investor

Of course, Darrin Farrow 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 Darrin Farrow at Triad Advisors, Inc. and Royal Alliance Associates, Inc. on alert to review carefully the activity and performance of their accounts and question whether Darrin Farrow has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints about Darrin Farrow at Royal Alliance Associates, Inc. also raises questions about supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.

File A Claim To Recover Your Investment Losses At Royal Alliance Associates, Inc.

If you have questions about Triad Advisors, Inc. and Royal Alliance Associates, Inc. and/or Darrin Farrow 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.

Author Photo

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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