Mark Alan Thompson of Atlanta, Georgia, a stockbroker associated with Arkadios Capital, was the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim that was settled for $172,500.00 in damages based upon allegations that Thompson provided unsuitable recommendations, was negligent, and caused the customer’s account to be overconcentrated in certain alternative investments including Real Estate Investment Trusts or REITs and direct investments during the time that Thompson was associated with Triad Advisors LLC and Arkadios Capital. FINRA Arbitration No. 22-00441 (July 26, 2023).
This is not the first time that Thompson has been referenced in a customer initiated investment related dispute concerning Thompson’s conduct in the securities industry. FINRA Public Disclosure shows that Thompson was also referenced in a customer initiated investment related civil action in which the customer requested $50,000.00 in damages based upon allegations that Thompson misrepresented a private placement in February 2017 during Thompson’s association with Arkadios Capital. Civil Action No. 19-CIV1050-LY (May 8, 2020).
Thompson has been associated with Arkadios Capital in Atlanta, Georgia since February 28, 2017. He has also been associated with EPG Wealth Management LLC in Atlanta, Georgia since June 19, 2019. Previously, Thompson was associated with ACG Wealth Inc. from July 31, 2009, to March 22, 2021, and with Triad Advisors Inc. from July 28, 2009, to March 7, 2017.