Mark A. Thompson Investigation
May 2022- Atlanta, GA
The FINRA records of Mark Alan Thompson , a stockbroker who is employed by Arkadios Capital disclose a pending customer dispute.
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
In FINRA arbitration 22-0441, a customer of Mr. Thompson’s employer, Arkadios Capital , alleges negligence, over concentration and unsuitable recommendations in connection with investments in alternative investments, including limited partnerships and real estate securities. The customer seeks damages in excess of one million is this currently pending matter.
In 2/2022 a customer of Triad Advisors & Arkadios Capital was paid $138,000 to resolve allegations that Thompson made unsuitable recommendations to invest in alternative investments between 2012-2017.
Thompson has been employed by Arkadios Capital since 2/2017. Prior to that he was with Triad Advisors and LPL Financial. He is also a registered investment advisor with EPG Wealth Management in Atlanta, GA.
If you have losses in an account handled by Mark Alan Thompson , contact us for a no charge consultation to learn how you may be able to recover damages through FINRA arbitration.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney, at no cost to you.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
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