Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nicholas Stafford (Stafford), currently associated with Arkadios Capital, has at least one disclosable event. These events include one customer complaint, alleging that Stafford recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on December 19, 2025.
Suitability