Goodman & Nekvasil P.A, May Recover Investor Losses – Gary Lee Rathbun (Gary Rathbun) Permitted to Resign from Triad Advisors, Inc. and Barred from the Securities Industry
From 2009 until Gary Rathbun’s resignation in 2014, Gary Rathbun was licensed with Triad Advisors, Inc. According to FINRA’s records, Gary Rathbun was permitted to resign from Triad Advisors, Inc. on July 11, 2014. Triad Advisors, Inc. reported to FINRA that Gary Rathbun was permitted to resign while under internal review for violation of firm policy with respect to private securities transactions.
Subsequent to Gary Rathbun’s resignation, FINRA brought a disciplinary action against Gary Rathbun. Gary Rathbun consented to a bar from the securities industry. FINRA reports that Gary Rathbun consented to the entry of findings that Gary Rathbun and another registered representative participated in the sale of $25.5 million in LLC investments to clients of Private Wealth Consultants, Ltd. According to the FINRA disciplinary action, Gary Rathbun and the registered representative were paid more than $600,000 in monitoring fees on these investments between 2010 and 2014, in addition to investment advisory fees.
If you lost any money on investments with Gary Rathbun, including investments with Private Wealth Consultants, Ltd., you may be able to recover your losses from Triad Advisors, Inc. This is because Triad Advisors, Inc. had a duty to supervise Gary Rathbun.
If you lost money on investments with Gary Rathbun and believe that the investments may have been unsuitable or otherwise improper for you, we would like to discuss the possibility of your retaining our firm to represent you in an arbitration action against Triad Advisors, Inc., concerning Gary Rathbun’s conduct. There is no charge for an evaluation of your case. Further, we handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee. Unless you recover any money, you pay us nothing, not even the costs and expenses which the firm will advance on your behalf.
Kalju Nekvasil, Esq., formerly regional counsel with the NASD, now known as FINRA, has practiced in this area of the law for more than 35 years. If you lost money on investments with Gary Rathbun and would like your case evaluated by a securities attorney (again, there is no charge for an evaluation and all cases are handled on a purely contingency fee basis), please contact us.
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