Nathan Gersteen Katz, Formerly of Triad Investors, Barred by FINRA Following Refusal to Produce Information

Katz was being investigated by FINRA based on allegations of unsuitable recommendations, forging signatures, and failure to timely disclose certain judgments and liens. 

nathan-gersteen-katz-refusal-to-produce-informationNathan Gersteen Katz (CRD#: 846475) was registered as a broker with American Independent Securities from 2018 until 2021. Previously, Katz was registered as a broker with Triad Advisors from 2001 until 2018.

Katz has 13 disclosures on his BrokerCheck report.

June 2021 Regulatory Judgment

February 2021 Customer Dispute

January 2021 Employment Separation After Allegations

August 2018 Employment Separation After Allegations

August 2018 Judgment / Lien

July 2015 Judgment / Lien

December 2014 Judgment / Lien

April 2011 Judgment / Lien

April 2002 Customer Dispute

May 2001 Customer Dispute

March 2001 Employment Separation After Allegations

March 2001 Customer Dispute

January 2001 Customer Dispute

Contact Us Today

The Sonn Law Group is currently investigating allegations surrounding Nathan Gersteen Katz. We represent investors in claims against negligent brokers and brokerage firms. If you or your loved one experienced investment losses, we are here to help. For a free consultation, please call us now at 866-827-3202 or complete our contact form.