INVESTORS: Former Triad Advisors broker Kenneth Anthony Luccioni is facing three pending customer disputes alleging unsuitable investments.
Kenneth Anthony Luccioni (CRD: 719779) was registered as a broker with Triad Advisors from 2000 until 2016. Previously, Luccioni was registered as a broker with London Pacific Advisors from 1997 until 2000.
Luccioni has four disclosures on his BrokerCheck report.
January 2021 Customer Dispute
- Status: Pending
- Allegations: Claimant alleges that Mr. Luccioni overconcentrated her account in volatile energy sector securities that were unsuitable.
- Damage Amount: $500,000.00
March 2020 Customer Dispute
- Status: Pending
- Allegations: Claimants allege an unsuitable investment strategy beginning in 2005.
- Damage Amount: $900,000.00
March 2020 Customer Dispute
- Status: Pending
- Allegations: Claimants allege an unsuitable investment strategy beginning in 2005.
- Damage Amount: 1,000,000.00
September 2021 Regulatory Judgment
- Status: Final
- Initiated By: FINRA
- Allegations: Without admitting or denying the findings, Luccioni consented to the sanction and to the entry of findings that he failed to provide documents and information to FINRA in connection with an investigation into whether he had failed to disclose federal and state tax liens on his Uniform Application for Securities Industry Registration or Transfer (Form U4).
- Resolution: Acceptance, Waiver & Consent (AWC)
- Sanctions: Bar
- Registration Capacities Affected: All Capacities
- Duration: Indefinite
- Start Date: 11/9/2018
Contact Us Today
The Sonn Law Group is currently investigating allegations surrounding Kenneth Anthony Luccioni. 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.
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