Israels & Neuman, PLC Investigates Nathan Katz, Formerly of American Independent Securities Group and Triad Advisors

LARGO, FLORIDA – Have you lost money with financial advisor Nathan Katz, formerly of American Independent Securities Group and Triad Advisors in Largo, Florida?  We are looking into allegations made against Nathan Katz, who has been the subject of five customer complaints, one which was filed in 2021.  The customers alleged that Katz mismanaged their annuity.  Katz was also terminated by American Independent Securities Group in 2021; Triad Advisors in 2018; and Paine Webber in 2001.

Nathan G. Katz was a registered representative of American Independent Securities Group from October 2018 to January 2021.  Katz was also with Triad Advisors from 2001 to August 2018.  He has worked at branch offices in Largo, Florida.

Brokerage firms like American Independent Securities Group and Triad Advisors have a responsibility to adequately supervise all representatives who are registered through their firm.  Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies.  When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.

Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado; Seattle, Washington; Phoenix, Arizona; and Ann Arbor, Michigan.  We represent investors in FINRA arbitration proceedings in all 50 states, including investors in Florida.  Our attorneys have represented over one thousand investors against many brokerage firms in the past, including against American Independent Securities Group.

Click to view BrokerCheck:  Katz, n BrokerCheck 6.11.21

If you lost money with Nathan Katz, Triad Advisors, or American Independent Securities Group, contact the law firm of ISRAELS & NEUMAN at (720) 599-3505 or (206) 795-5798 for a Free evaluation of your case.