Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Douglas Henrickson (Henrickson), previously associated with Triad Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Henrickson recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on August 12, 2020.
Following suspension of distributions, Claimants now allege, 5-6 years after the fact, that investments they elected to make in 2014/2015 were unsuitable.