Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Jackman (Jackman), currently associated with Arkadios Capital, has at least one disclosable event. These events include one customer complaint, alleging that Jackman 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 $400,000.00 on August 25, 2022.
The customer alleges unsuitable investment strategy, omission of material information, providing false and misleading information, failure to supervise and failure to conduct proper due diligence on investments recommended.