Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Norman Mcneill (Mcneill), previously associated with Triad Advisors, INC., has at least one disclosable event. These events include one customer complaint, alleging that Mcneill recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a award / judgment customer complaint on July 21, 2021.
McNeill was named in a customer complaint that asserted the following causes of action: violating the Alabama Securities Act, unsuitability, negligent misrepresentation and negligent suppression, breach of fiduciary duty, negligence, breach of contract, and controlling person liability.