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Norman McNeill Allegedly Violated Alabama and FINRA Securities Regulations

Mar 16, 2022 Unsuitable Investments

Norman McNeill (CRD #:1693116), a broker formerly registered with Triad Advisors, is involved in two pending investor disputes, according to his BrokerCheck record, accessed on March 2, 2022. 

Pending Disputes

  1. On November 19, 2021, Norman McNeill was named in an investor dispute alleging a violation of the Alabama Securities Act, unsuitable investment recommendations, fraud, breach of fiduciary duty, negligence, and breach of contract. The allegations further claim Norman McNeill recommended an options strategy that did not fit his investor’s risk tolerance. Options can be exceptionally risky and do not fit many investors’ needs. 
  2. On July 21, 2021, Norman McNeill was named in another investor dispute alleging unsuitable investment recommendations, breach of fiduciary duty, negligence, and breach of contract. 

Background Information

Norman McNeill has passed the following exams:

  • Series 63 - Uniform Securities Agent State Law Examination
  • Series 42 - Registered Options Representative Examination
  • Series 52 - Municipal Securities Representative Examination
  • Series 62 - Corporate Securities Limited Representative Examination
  • Series 22 - Direct Participation Programs Representative Examination
  • Series 6 - Investment Company Products/Variable Contracts Representative Examination
  • Series 24 - General Securities Principal Examination

Besides Triad Advisors, he has worked with the following firms:

  • Royal Alliance Associates (CRD#:23131)
  • H.D. Vest Investment Securities (CRD#:13686)
  • SMA Equities (CRD#:3960)

  Kurta Law Can Help

If you have been victimized after working with Norman McNeill, don't hesitate to contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.