Robert Wilder and Private Securities Transactions Violations

AdobeStock_112465076-1-300x164According to a recent Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA), Robert Wilder, while associated with Morgan Keegan and Triad Advisors, allegedly participated in private securities transactions without providing prior written notice to his employer, and without receiving approval to participate in these transactions. This is against securities rules and internal firm rules. For this, he was fined $5,000 and suspended from the industry for three months. His firms, Triad Advisors, and Morgan Keegan, may be liable for investment losses if you were a victim of Robert Wilder. Those firms had a duty to reasonably supervise their brokers while they were employed there, and, because they did not, can be held liable for losses on a contingency fee basis. Please call our Chicago-based law firm today at 312-332-4200 to find out how you may be able to bring a claim against Morgan Keegan and Triad Advisors in the FINRA arbitration forum. Attorneys are standing by to take your call. There is no obligation with the call and the call is free.
According to FINRA, Robert Scott Wilder was previously registered with Equity Services in Montpelier, Vermont from November 1994 until November 1994, A.G. Edwards & Sons in St. Louis, Missouri from December 1994 until April 2005, Morgan Keegan in Atlanta, Georgia from March 2005 until November 2009, Triad Advisors in Atlanta from November 2009 until July 2013 and Sterne Agee Financial Services in Atlanta from June 2013 until December 2015. He has four customer disputes against him, and four criminal dispositions. This information is according to his online, FINRA BrokerCheck report.

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