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David Arthur Hicks with Triad Advisors LLC Has 2 Customer Complaints For Alleged Broker Misconduct In the Past Year

Who is David A. Hicks with Triad Advisors LLC?

David Hicks (CRD #733045) who is currently registered with Triad Advisors LLC and located in Baltimore, Maryland is a subject of one of our many securities industry sales practice abuse investigations. Prior to Triad Advisors LLC, David Hicks was associated with H. Beck, Inc. and 2 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

H. Beck, Inc.  Broker Misconduct

In his career, David Hicks has been the subject of 3 customer complaints that we know about, 2 of those complaints were filed in the last year to recover investment losses. All of the complaints arose in connection with his employment at H. Beck, Inc. The other complaint was denied by David Hicks employer antedate the customer is not taking any further action.  There are currently 2 pending customer complaints filed against David Hicks’ former employer, H. Beck, Inc. for investment losses caused by his alleged misconduct.

Allegations Against David Hicks

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

  • Client alleges that the registered representatives invested their assets in an unsuitable and illiquid REIT investments.
  • Client alleges that registered representative over-concentrated her portfolio and high-risk, high commission REITs and variable annuities which were unsuitable for her.
  • Customer alleges misrepresentation in connection with REIT investments purchased in her account.

David Hicks Red Flags & Your Rights As An Investor

Of course, David Hicks 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 David Hicks at Triad Advisors LLC and H. Beck, Inc. on alert to review carefully the activity and performance of their accounts and question whether David Hicks has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints about David Hicks at H. Beck, 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 Triad Advisors LLC  And H. Beck, Inc. 

If you have questions about Triad Advisors LLC, H. Beck, Inc. and/or David Hicks 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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