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 |
|---|---|---|---|---|---|---|---|---|
| Stephen John Ferencik | 3126037 | 9 | 06/16/2010 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Stephen John Ferencik | 3126037 | 9 | 05/18/2010 | Customer Dispute | Settled | $220,000.00 | $0.00 | See FINRA Report |
| Stephen John Ferencik | 3126037 | 9 | 02/23/2010 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Alexander Joseph Monk | 6234104 | 1 | 06/27/2009 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Thomas Michael Baer | 1663820 | 2 | 05/01/2009 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Ricky Randon Moore | 2574634 | 5 | 04/23/2009 | Customer Dispute | Denied | $7,700.00 | $0.00 | See FINRA Report |
| Dan Edward Wagner | 2867278 | 4 | 03/10/2009 | Customer Dispute | Withdrawn | $82,500.00 | $0.00 | See FINRA Report |
| Michael Alexander Kearney | 5369140 | 3 | 02/24/2009 | Civil Bond | $0.00 | $0.00 | See FINRA Report | |
| Scott Alan McQuilken | 2618322 | 6 | 12/03/2008 | Customer Dispute | Denied | $18,000.00 | $0.00 | See FINRA Report |
| Steven Parker Lichtblau | 1384239 | 1 | 11/04/2008 | Customer Dispute | Denied | $32,428.00 | $0.00 | See FINRA Report |