Articles Tagged with Arkadios Capital

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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 $130,000.00 on January 06, 2026.

The customers allege that in August of 2019 and in April of 2020, the Registered Representative recommended unsuitable, complex, investments.

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

FINRA BrokerCheck shows a pending customer complaint on February 06, 2026.

Negligence, misrepresentation and omission of material facts, failure to meet suitability obligations, violations of California’s ‘Blue Sky’ law, breach of fiduciary duty, breach of contract

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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 with a damage request of $100,000.00 on February 11, 2026.

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

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Berger (Berger), previously associated with Arkadios Capital, has at least one disclosable event. These events include one customer complaint, alleging that Berger 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 $100,000.00 on September 22, 2020.

More than five years post investment and after receiving approximately $30,000 in distributions, Claimant now alleges the $100,000 investment she elected to make in GPB Holdings in 2015 was/is unsuitable.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alan Berger (Berger), currently associated with Arkadios Capital, has at least one disclosable event. These events include one customer complaint, alleging that Berger 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 $100,000.00 on September 22, 2020.

More than five years post investment and after receiving approximately $30,000 in distributions, Claimant now alleges the $100,000 investment she elected to make in GPB Holdings in 2015 was/is unsuitable.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Patrick Strubbe (Strubbe), currently associated with Arkadios Capital, has at least one disclosable event. These events include one customer complaint, alleging that Strubbe 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 $14,000.00 on October 23, 2020.

Allegation unknown. Dissatisfied with account.

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

FINRA BrokerCheck shows a settled customer complaint on November 13, 2020.

Unsuitable investment recommendations, misrepresentation.

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

FINRA BrokerCheck shows a settled customer complaint on December 18, 2020.

Claimants allege that from December 2017 through March 2020 representatvie made unsuitable recommendations in a leveraged etf in accounts the claimants held outside of lpl.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrew Dinkelmeyer (Dinkelmeyer), currently associated with Arkadios Capital, has at least one disclosable event. These events include one customer complaint, alleging that Dinkelmeyer 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 April 26, 2021.

Unreasonable investment recommendations ,breach of fiduciary duties

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Douglass (Douglass), currently associated with Arkadios Capital, has at least one disclosable event. These events include one customer complaint, alleging that Douglass 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 $900,000.00 on May 14, 2021.

Claimant, through Power of Attorney, alleges the registered rep recommended an unsuitable investment. Activity dates 2008-2021.

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