Securities Lawyers Blog
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