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Stephen John Ferencik with Arkadios Capital Has 2 Customer Complaints for Alleged Broker Misconduct in the Past Year

Who is Stephen J. Ferencik with Arkadios Capital?

Stephen Ferencik (CRD #3126037) who is currently registered with Arkadios Capital and located in Atlanta, Georgia is a subject of one of our many securities industry sales practice abuse investigations.  

Prior to Arkadios Capital, Stephen Ferencik was associated with Triad Advisors, Inc. and 4 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Arkadios Capital Broker Misconduct

In his career, Stephen Ferencik has been the subject of 8 customer complaints that we know about, 2 of those complaints were filed in the last year to recover investment losses. Four of Stephen Ferencik’s 8 customer complaints were settled in favor of investors.

There are currently 2 pending customer complaints filed against Stephen Ferencik’s current employer Arkadios Capital for investment losses caused by his alleged misconduct.

Allegations Against Stephen Ferencik  

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

  • The client alleged excessive trading in her account.
  • Claimants alleged unsuitable investment recommendations and unauthorized trading in stocks and products in their accounts.
  • The claimant alleged that Stephen Ferencik recommended an unsuitable asset allocation and made unauthorized trades in his account.
  • The client alleged that the financial advisor places various trades in his account without his consent or knowledge.
  • The customer alleged that his investments were misrepresented to him.
  • The client alleged that Stephen Ferencik engaged in excessive trading that was not beneficial or with his knowledge.
  • Claimants and separate arbitration proceedings alleged that financial advisors made unsuitable recommendations to invest in structured notes.
  • UBS Financial Services, Inc. discharged Stephen Ferencik for allegedly exercising discretion in the client’s account, in violation of firm policy, despite been previously reprimanded by the firm or similar misconduct.

Stephen Ferencik Red Flags & Your Rights as An Investor

Of course, Stephen Ferencik 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 that should put all current and former customers of Stephen Ferencik at Arkadios Capital and Triad Advisors, Inc. on alert to review carefully the activity and performance of their accounts and question whether Stephen Ferencik 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

If you have questions about Arkadios Capital, UBS Financial Services, Inc., and/or Stephen Ferencik 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.

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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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