According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Enrique Lopez (Lopez), currently associated with Arkadios Capital, has at least one disclosable event. These events include one customer complaint, alleging that Lopez recommended unsuitable investments in different investment products including debt securities among other allegations and…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Shaver (Shaver), previously associated with Arkadios Capital, has at least one disclosable event. These events include one customer complaint, alleging that Shaver recommended unsuitable investments in different investment products including debt securities among other allegations and…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Debra Biosca (Biosca), currently associated with Arkadios Capital, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Biosca recommended unsuitable investments in different investment products including debt securities among other allegations and…
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Thomas Baer (Baer), currently employed by Arkadios Capital has been subject to at least one disclosable event. These events include one customer complaint. According to records kept by The Financial Industry Regulatory Authority (FINRA), Baer’s most recent…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jason Stone (Stone), currently associated with Arkadios Capital, has at least one disclosable event. These events include one customer complaint, alleging that Stone recommended unsuitable investments in different investment products including debt securities among other allegations and…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker George Terlizzi (Terlizzi), previously associated with Arkadios Capital, has at least one disclosable event. These events include one customer complaint, alleging that Terlizzi recommended unsuitable investments in different investment products including debt securities among other allegations and…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jason Stone (Stone), currently associated with Arkadios Capital, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Stone recommended unsuitable investments in different investment products including debt securities among other allegations and…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Marc Korsch (Korsch), previously associated with Arkadios Capital, has at least 12 disclosable events. These events include 12 customer complaints, alleging that Korsch recommended unsuitable investments in different investment products including debt securities among other allegations and…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Walesa (Walesa), previously associated with Arkadios Capital, has at least 10 disclosable events. These events include 10 customer complaints, alleging that Walesa recommended unsuitable investments in different investment products including debt securities among other allegations and…
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Mark Alexander Reffett (Reffett), currently employed by Arkadios Capital, has been subject to at least one customer complaint his career. According to records kept by the Financial Industry Regulatory Authority (FINRA), Reffett’s customer complaint alleges that Reffett engaged…