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Mark Alan Thompson with Arkadios Capital Has 2 Customer Complaints for Alleged Broker Misconduct In the Past 2 Years

Who is Mark A. Thompson with Arkadios Capital?

Mark Thompson (CRD #4632270) who is currently registered with Arkadios Capitaland located in Atlanta, Georgia is a subject of one of our many securities industry sales practice abuse investigations.

Prior to Arkadios Capital, Mark Thompson was associated with Triad Advisors, Inc. and 5other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Arkadios Capital Broker Misconduct

In his career, Mark Thompson has been the subject of 2 customer complaints that we know about, both of those complaints were filed in the last two years to recover investment losses. Both customer complaints filed against Mark Thompson’s current employer Arkadios Capital and former employer, Triad Advisors, Inc. for investment losses caused by his alleged misconduct.

Allegations Against Mark Thompson

A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows:

  • The claimant alleged that the financial advisor made unsuitable recommendations to invest in alternative investments.
  • The customer alleged that the financial advisor misrepresented a private placement investment.

Mark Thompson Red Flags & Your Rights as An Investor

Of course, Mark Thompson did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Mark Thompson at Arkadios Capital and Triad Advisors, Inc. on alert to review carefully the activity and performance of their accounts and question whether Mark Thompson has engaged in any stockbroker misconduct that may have caused them investment losses.

The large number of customer complaints at Arkadios Capital and Triad Advisors, Inc. also raises questions about supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.

File A Claim to Recover Your Investment Losses At Arkadios Capital And Triad Advisors, Inc.

If you have questions about Arkadios Capital, Triad Advisors, Inc., and/or Mark Thompson and the management or performance of your accounts please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Author Photo

Robert Wayne Pearce

Robert Wayne Pearce of The Law Offices of Robert Wayne Pearce, P.A. has been a trial attorney for more than 40 years and has helped recover over $170 million dollars for his clients. During that time, he developed a well-respected and highly accomplished legal career representing investors and brokers in disputes with one another and the government and industry regulators. To speak with Attorney Pearce, call (800) 732-2889 or Contact Us online for a FREE INITIAL CONSULTATION with Attorney Pearce about your case.

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