Close Menu
Free Consultation: 888-976-6111

Mike Hensley: $100K Complaint Against Ex-Triad Advisor

Raleigh, North Carolina financial advisor Mike Hensley (CRD# 4052660) allegedly made inadequate disclosures regarding an investment he recommended. Financial Industry Regulatory Authority records show that the former Triad Advisors broker is currently an investment advisor with Guardian Wealth Advisors.

Mr. Hensley’s BrokerCheck report discloses one investor complaint. Filed in August 2023, it alleges that as a representative of Triad Advisors, he did not make “fair and balanced disclosures regarding the high-risk nature of non-traded” real estate products. The pending complaint alleges damages of $100,000.

Investors should be aware that FINRA rules forbid brokers from misrepresenting or omitting material facts relating to the investments and strategies they recommend to their clients. FINRA Rule 2020 states specifically that no broker shall “effect any transaction in, or induce the purchase or sale of, any security by means of any manipulative, deceptive or other fraudulent device or contrivance.” Brokers who fail to accurately represent investments may be held liable for damages.

According to the Financial Industry Regulatory Authority and the Securities and Exchange Commission, Mike Hensley holds 23 years of securities industry experience. Based in Raleigh, North Carolina, he has been an investment advisor with Guardian Wealth Advisors since May 2022. His past registrations include Aptus capital Advisors (2019-2022), Gordon Asset Management (2015-2019), Triad Advisors (2009-2015), Guardian Capital Advisors (2011-2015), Triad Advisors (2009), Commonwealth Financial Network (2006-2009), Capital Investment Counsel (2005-2006), Capital Investment Group (2000-2006), and Capital Investment Brokerage (2000-2006), all in Raleigh. His credentials include the passage of five securities industry qualifying exams: the General Securities Principal Examination, or Series 24; the General Securities Representative Examination, or Series 7; the Securities Industry Essentials Examination, or SIE; the Uniform Securities Agent State Law Examination, or Series 63; and the Uniform Investment Adviser Law Examination, or Series 65. He is licensed in North Carolina. (Information current as of September 17, 2023.)

Carlson Law represents investors throughout the United States in claims against financial advisors and investment firms. If you or a loved one have suffered investment losses, please call us at 888-976-6111 or complete our contact form for a free and confidential consultation.

Facebook Twitter LinkedIn
Contact Us For A Free Case Evaluation
protected by reCAPTCHA Privacy - Terms
Latest Blog Posts
  • Jaime Rios: Regulators Censure, Finr Money Concepts Advisor

    Corpus Christi financial advisor Jaime Rios (CRD# 1747126) was recently sanctioned by securities regulators in connection with alleged rule violations....

    Read More
  • Franz Koch: Unauthorized Trading Complaint Against Wells Fargo Advisor

    Boca Raton financial advisor Franz Koch (CRD# 4467954) allegedly made unauthorized transactions, according to a recent investor complaint. Financial Industry...

    Read More
  • Brian Shevland: FINRA Suspends Bluestone Capital Advisor

    Wayne, Pennsylvania financial advisor Brian Shevland (CRD# 4570496) was recently sanctioned and suspended in connection with alleged misrepresentations. Financial Industry...

    Read More
  • Jorge Menendez: $800K Complaint Against Citi Advisor

    Miami financial advisor Jorge Menendez (CRD# 5138358) recently received an investor complaint alleging that his conduct resulted in six-figure damages....

    Read More
  • Previous
  • Next