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FINRA Awards for Arkadios Capital

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Case Number Award Date Case Summary Customer Case? Amount Granted
23-0288208/26/2024Claimant(s): Dan Wagner
Claimant Lawyers(s): Nathan W. Lamb
Respondent(s): Arkadios Capital
Respondent Lawyers(s): Gary Schwartz
Arbitrator(s): Harvey R. Linder
Hearing Site: Columbia, SC
23-0131503/15/2024Claimant(s): Michael Sievert
Claimant Lawyers(s): Peter Lindholm
Respondent(s): Arkadios Capital, Triad Advisors LLC
Respondent Lawyers(s): Chet C. Payne, Gregory M. Curley
Arbitrator(s): Leslie L. Cooney
Hearing Site: Jacksonville, FL

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