Arkadios Capital

There are Recent Customer Complaints with Broker Scott Brown in Firm Arkadios Capital

January 29, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Scott Brown (Brown), currently associated with Arkadios Capital, has at least one disclosable event. These events include one customer complaint, alleging that Brown 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 $5,000.00 on July 30, 2021.

Customer alleges variable annuities purchased in 2014 were unsuitable and excessive fees were incurred.

Broker Shelby Moore in Arkadios Capital Firm Has Customer Complaint

January 17, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Shelby Moore (Moore), currently associated with Arkadios Capital, has at least one disclosable event. These events include one customer complaint, alleging that Moore 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 $250,000.00 on November 18, 2021.

Claimants allege that the financial professional recommended an investment that was unsuitable.

Broker Kevin Rainwater in Arkadios Capital Firm Has Customer Complaint

January 16, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Rainwater (Rainwater), previously associated with Arkadios Capital, has at least 4 disclosable events. These events include 4 customer complaints, alleging that Rainwater 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 $300,000.00 on November 23, 2021.

Client since 2015 claims unsuitable products/REITS/alternatives

Broker Ronald Wingerter in Arkadios Capital Firm Has Customer Complaint

January 6, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ronald Wingerter (Wingerter), previously associated with Arkadios Capital, has at least one disclosable event. These events include one customer complaint, alleging that Wingerter 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 $500,000.00 on October 28, 2025.

Unsuitable investments, gross negligence, and breach of fiduciary duty.

There are Recent Customer Complaints with Broker Ronald York in Firm Arkadios Capital

December 19, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on October 28, 2025.

Claims unsuitable purchase of a DST (private Placement) on 2/1/2022

There are Recent Customer Complaints with Broker Ross Wyatt in Firm Arkadios Capital

December 6, 2025 | by Staff Attorney

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.

There are Recent Customer Complaints with Broker Jeffrey Norris in Firm Arkadios Capital

December 6, 2025 | by Staff Attorney

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.

Broker Mark Thompson in Arkadios Capital Firm Has Customer Complaint

December 6, 2025 | by Staff Attorney

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.

There are Recent Customer Complaints with Broker Joseph Young in Firm Arkadios Capital

December 6, 2025 | by Staff Attorney

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.

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