Our Staff has compiled our research into a database of FINRA Broker Disclosures for Arkadios Capital. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Thomas Michael Baer | 1663820 | 2 | 07/22/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Scott Peter Mullady | 2190133 | 3 | 07/16/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Scott Peter Mullady | 2190133 | 3 | 06/28/2024 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Debra L Biosca | 4584010 | 3 | 06/25/2024 | Customer Dispute | Pending | $100,000.00 | $0.00 | See FINRA Report |
| Scott Peter Mullady | 2190133 | 3 | 06/17/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jason Douglas Stone | 5455271 | 1 | 05/28/2024 | Customer Dispute | Pending | $100,000.00 | $0.00 | See FINRA Report |
| Enrique Lopez | 2209385 | 5 | 05/02/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Debra L Biosca | 4584010 | 3 | 03/07/2024 | Customer Dispute | Pending | $34,000,000.00 | $0.00 | See FINRA Report |
| Debra L Biosca | 4584010 | 3 | 02/29/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Dan Edward Wagner | 2867278 | 4 | 09/22/2023 | Customer Dispute | Pending | $189,550.00 | $0.00 | See FINRA Report |