Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Thompson (Thompson), currently associated with Arkadios Capital, has at least one disclosable event. These events include one customer complaint, alleging that Thompson 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 $1,000,000.00 on March 02, 2022.
Claimant alleges negligence, overconcentration, and unsuitable recommendations with regard to alternative investments.