Articles Tagged with Arkadios Capital

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ross Wyatt (Wyatt), currently associated with Arkadios Capital, has at least one disclosable event. These events include one customer complaint, alleging that Wyatt recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on March 01, 2022.

The complainant alleges that the tax consequences, associated with the Variable Annuities issued on or around December 16, 2021, were misrepresented.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Norris (Norris), currently associated with Arkadios Capital, has at least one disclosable event. These events include one customer complaint, alleging that Norris recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on March 01, 2022.

The complainant alleges that the tax consequences, associated with the Variable Annuities issued on or around December 16, 2021, were misrepresented.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Thompson (Thompson), currently associated with Arkadios Capital, has at least one disclosable event. These events include one customer complaint, alleging that Thompson recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $1,000,000.00 on March 02, 2022.

Claimant alleges negligence, overconcentration, and unsuitable recommendations with regard to alternative investments.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Young (Young), previously associated with Arkadios Capital, has at least one disclosable event. These events include one customer complaint, alleging that Young recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $1,000,000.00 on March 02, 2022.

Claimant alleges negligence, overconcentration, and unsuitable recommendations with regard to alternative investments.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Martin Mcfarlin (Mcfarlin), currently associated with Arkadios Capital, has at least one disclosable event. These events include one customer complaint, alleging that Mcfarlin recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $999,999.00 on April 21, 2022.

Fraud, negligence, negligent Supervision, breach of fiduciary duty, breach of contract, third party breach of contract

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Curvin Miller (Miller), previously associated with Arkadios Capital, has at least one disclosable event. These events include one customer complaint, alleging that Miller recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $70,449.45 on March 12, 2025.

Breach of fiduciary duty and failure to disclose conflict of interests between Kalos Capital and Wildermuth Endowment Funds

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Jackman (Jackman), currently associated with Arkadios Capital, has at least one disclosable event. These events include one customer complaint, alleging that Jackman recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $400,000.00 on August 25, 2022.

The customer alleges unsuitable investment strategy, omission of material information, providing false and misleading information, failure to supervise and failure to conduct proper due diligence on investments recommended.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Suzanne Wheeler (Wheeler), currently associated with Arkadios Capital, has at least one disclosable event. These events include one customer complaint, alleging that Wheeler recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $500,000.00 on August 29, 2022.

The claimant alleges unsuitable investments.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Blake Fellows (Fellows), currently associated with Arkadios Capital, has at least one disclosable event. These events include one customer complaint, alleging that Fellows recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $2,250,000.00 on October 01, 2025.

Customer alleges the representative did not act in the best interest of the retail customer by recommending an unsuitable securities investment for the customers investment objectives between 2019 – 2025.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Walesa (Walesa), previously associated with Arkadios Capital, has at least one disclosable event. These events include one customer complaint, alleging that Walesa recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $80,000.00 on October 07, 2025.

Alleges unsuitable product

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