Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stephen Ferencik (Ferencik), currently associated with Arkadios Capital, has at least one disclosable event. These events include one customer complaint, alleging that Ferencik recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on April 23, 2020.
Unsuitable product during 2018-2019