Securities Lawyers Blog
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.