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Gary Rathbun Formerly of Triad Advisors Inc. Has 4 Customer Complaints For Alleged Broker Misconduct

Who is Gary Rathbun Formerly with Triad Advisors Inc.?

Gary Rathbun (CRD #1084721) who was formerly registered with Triad Advisors Inc. and located in Toledo, Ohio is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Triad Advisors Inc., Gary Rathbun was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Gary Rathbun  has had his own share of regulatory problems with FINRA and the State of Ohio. He has been permanently barred by FINRA for many further association with any member firm in the future.

Gary Rathbun Customer Complaints

Gary Rathbun has been the subject of 4 customer complaints that we know about to recover investment losses.  One customer complaint was denied and to date the customer has not taken any further action. There are currently 3 FINRA arbitration claims pending.

Allegations Against Gary Rathbun

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

  • Breach of fiduciary duty, negligence, misrepresentation and unsuitable investment recommendations of alternative investments.
  • Selling away of private placement investments without firm approval.
  • Sale of unapproved investment.

Gary Rathbun Red Flags & Your Rights As An Investor

Of course, Gary Rathbun 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 Gary Rathbun at Triad Advisors Inc. on alert to review carefully the activity and performance of their accounts and question whether Gary Rathbun has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Triad Advisors Inc. also raises questions about the brokerage firm’s 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 Inc. Due To Gary Rathbun

If you have questions about Triad Advisors Inc. and/or Gary Rathbun 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 $160 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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