Arkadios Capital

There are Recent Customer Complaints with Broker Martin Mcfarlin in Firm Arkadios Capital

November 29, 2025 | by Staff Attorney

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

There are Recent Customer Complaints with Broker Curvin Miller in Firm Arkadios Capital

November 23, 2025 | by Staff Attorney

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

Broker Richard Jackman in Arkadios Capital Firm Has Customer Complaint

November 7, 2025 | by Staff Attorney

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.

Broker Suzanne Wheeler in Arkadios Capital Firm Has Customer Complaint

November 7, 2025 | by Staff Attorney

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.

There are Recent Customer Complaints with Broker Blake Fellows in Firm Arkadios Capital

October 27, 2025 | by Staff Attorney

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.

There are Recent Customer Complaints with Broker James Walesa in Firm Arkadios Capital

October 27, 2025 | by Staff Attorney

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

There are Recent Customer Complaints with Broker James Walesa in Firm Arkadios Capital

October 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Walesa (Walesa), previously associated with Arkadios Capital, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, 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 $5,000,000.00 on August 11, 2025.

Unsuitable recommendations from 2016 to present

There are Recent Customer Complaints with Broker Enrique Lopez in Firm Arkadios Capital

October 7, 2025 | by Staff Attorney

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 complaints.

FINRA BrokerCheck shows a pending customer complaint on September 09, 2025.

Customer alleges that in October 2014 , representative recommended an investment in an income fund that was unsuitable for the customer's investment profile and risk tolerance.

Broker Jeffrey Paladini in Arkadios Capital Firm Has Customer Complaint

August 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Paladini (Paladini), previously associated with Arkadios Capital, has at least one disclosable event. These events include one customer complaint, alleging that Paladini 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 $50,000.00 on November 28, 2023.

Claimant alleges a direct investment recommended to her was not in keeping with her needs and objectives, and was not fully explained to her.

Broker Marc Korsch in Arkadios Capital Firm Has Customer Complaint

August 6, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Marc Korsch (Korsch), previously associated with Arkadios Capital, has at least one disclosable event. These events include one customer complaint, alleging that Korsch 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 $150,000.00 on April 07, 2025.

The customers allege that the Registered Representative recommended and misrepresented unsuitable, high-risk, illiquid investments. No specific dates for the alleged activity were identified in the Statement of Claim.