Articles Tagged with Arkadios Capital

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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 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

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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.

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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.

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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 $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.

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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.

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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.

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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.

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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

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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

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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.

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