Arkadios Capital

Broker David Curry in Arkadios Capital Firm Has Customer Complaint

May 13, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Curry (Curry), currently associated with Arkadios Capital, has at least one disclosable event. These events include one customer complaint, alleging that Curry recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $500,000.00 on April 21, 2025.

Claim Allegation is unsuitable

There are Recent Customer Complaints with Broker Enrique Lopez in Firm Arkadios Capital

May 6, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Enrique Lopez (Lopez), currently associated with Arkadios Capital, has at least one disclosable event. These events include one customer complaint, alleging that Lopez recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on May 02, 2024.

Customer alleges that an investment made in 2014 was unsuitable for the customer’s investment objectives and risk tolerance.

Broker Jeffrey Shaver in Arkadios Capital Firm Has Customer Complaint

April 30, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Shaver (Shaver), previously associated with Arkadios Capital, has at least one disclosable event. These events include one customer complaint, alleging that Shaver recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $100,000.00 on June 07, 2024.

It is alleged that Claimant’s retirement assets were invested in a single high risk alternative investment.

Broker Debra Biosca in Arkadios Capital Firm Has Customer Complaint

April 26, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Debra Biosca (Biosca), currently associated with Arkadios Capital, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Biosca recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $100,000.00 on June 25, 2024.

Was communicating with investors of unsuitable securities

Broker Thomas Baer in Arkadios Capital Firm Has Customer Complaint

April 21, 2025 | by Staff Attorney

The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Thomas Baer (Baer), currently employed by Arkadios Capital has been subject to at least one disclosable event. These events include one customer complaint. According to records kept by The Financial Industry Regulatory Authority (FINRA), Baer’s most recent customer complaint alleges that Baer recommended unsuitable investments in structured products and makes allegations concerning misconduct relating to the handling of the customer’s accounts.

FINRA BrokerCheck shows a pending customer complaint on July 22, 2024.

Unsuitable products/recommendation:\\u00a0\\u00a0Structured\\u00a0Income Notes

Broker Jason Stone in Arkadios Capital Firm Has Customer Complaint

April 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jason Stone (Stone), currently associated with Arkadios Capital, has at least one disclosable event. These events include one customer complaint, alleging that Stone recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on March 07, 2025.

Trustee alleged breach of fiduciary duty, unsuitable recommendation, and misrepresentation of investment regarding an oil and gas limited partnership purchased eleven years ago.

Broker George Terlizzi in Arkadios Capital Firm Has Customer Complaint

March 5, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker George Terlizzi (Terlizzi), previously associated with Arkadios Capital, has at least one disclosable event. These events include one customer complaint, alleging that Terlizzi recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $65,000.00 on January 28, 2025.

Claim of unsuitable Product

Broker Jason Stone in Arkadios Capital Firm Has Customer Complaint

February 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jason Stone (Stone), currently associated with Arkadios Capital, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Stone recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $2,000,000.00 on November 06, 2024.

Customer alleges breach of fiduciary duty, lack of suitability, and overconcentration in Alternative Investments. Further allegations are misrepresentation and omission of material facts and lack of supervision.

There are Recent Customer Complaints with Broker Marc Korsch in Firm Arkadios Capital

February 26, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Marc Korsch (Korsch), previously associated with Arkadios Capital, has at least 12 disclosable events. These events include 12 customer complaints, alleging that Korsch recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $40,000.00 on November 13, 2024.

The customer alleges that in November 2020, the Registered Representative recommended and misrepresented an unsuitable, high-risk, illiquid investment and breached his fiduciary duty.

Broker James Walesa in Arkadios Capital Firm Has Customer Complaint

February 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Walesa (Walesa), previously associated with Arkadios Capital, has at least 10 disclosable events. These events include 10 customer complaints, alleging that Walesa recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on November 14, 2024.

Unsuitable recommendations, Claimant is 49 years old and works as a farmer. At the instruction of Respondent’s representatives, he invested a significant portion of his life savings in their fraudulent companies.