Arkadios Capital

There are Recent Customer Complaints with Broker Jeffery Akers in Firm Arkadios Capital

July 9, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffery Akers (Akers), currently associated with Arkadios Capital, has at least one disclosable event. These events include one customer complaint, alleging that Akers 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 $25,542.90 on September 08, 2023.

Unsuitable recommendation, was a client since 2004 and 2014 is when the purchase in question occurred.

Broker Dan Wagner in Arkadios Capital Firm Has Customer Complaint

July 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dan Wagner (Wagner), currently associated with Arkadios Capital, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Wagner 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 $189,550.00 on September 22, 2023.

Customer alleges REIT and LP investments made in 2015 were unsuitable.

There are Recent Customer Complaints with Broker Gregg Lentz in Firm Arkadios Capital

June 16, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gregg Lentz (Lentz), currently associated with Arkadios Capital, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Lentz 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 $11,200.00 on September 09, 2019.

Client asserts that the recommendations made by the advisor were not the most suitable investments available. Client feels that he should be reimbursed $11,200 plus interest by advisor.

Broker Javier Reyes Colon in Arkadios Capital Firm Has Customer Complaint

June 9, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Javier Reyes Colon (Reyes Colon), previously associated with Arkadios Capital, has at least one disclosable event. These events include one customer complaint, alleging that Reyes Colon 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 $15,000,000.00 on January 08, 2024.

Client since 2009 alleges unsuitable Insurance Product

Broker David Curry in Arkadios Capital Firm Has Customer Complaint

May 13, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Curry (Curry), currently associated with Arkadios Capital, has at least one disclosable event. These events include one customer complaint, alleging that Curry 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 April 21, 2025.

Claim Allegation is unsuitable

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

May 6, 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 May 02, 2024.

Customer alleges that an investment made in 2014 was unsuitable for the customer’s investment objectives and risk tolerance.

Broker Jeffrey Shaver in Arkadios Capital Firm Has Customer Complaint

April 30, 2025 | by Staff Attorney

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 complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $100,000.00 on June 07, 2024.

It is alleged that Claimant’s retirement assets were invested in a single high risk alternative investment.

Broker Debra Biosca in Arkadios Capital Firm Has Customer Complaint

April 26, 2025 | by Staff Attorney

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 complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $100,000.00 on June 25, 2024.

Was communicating with investors of unsuitable securities

Broker Thomas Baer in Arkadios Capital Firm Has Customer Complaint

April 21, 2025 | by Staff Attorney

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 customer complaint alleges that Baer recommended unsuitable investments in structured products and makes allegations concerning misconduct relating to the handling of the customer’s accounts.

FINRA BrokerCheck shows a pending customer complaint on July 22, 2024.

Unsuitable products/recommendation:\\u00a0\\u00a0Structured\\u00a0Income Notes

Broker Jason Stone in Arkadios Capital Firm Has Customer Complaint

April 12, 2025 | by Staff Attorney

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 complaints.

FINRA BrokerCheck shows a pending customer complaint on March 07, 2025.

Trustee alleged breach of fiduciary duty, unsuitable recommendation, and misrepresentation of investment regarding an oil and gas limited partnership purchased eleven years ago.