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…
Michael Joseph Sievert (also known as Mike Sievert) of Jacksonville, Florida, a stockbroker formerly registered with Triad Advisors LLC, is identified in a customer initiated investment related FINRA securities arbitration claim where the customer sought $200,000.00 in damages based upon accusations that Sievert made unsuitable recommendations in connection with real estate security transactions while he…
Gilberto Briseno (also known as Gilbert Briseno), of Boutte, Louisiana, a stockbroker formerly registered with LPL Financial LLC, is identified in a customer initiated investment related written complaint on June 4, 2021, in which the customer requested $13,000.00 in damages based upon accusations of losses caused by unsuitable trading of closed-end funds and real estate…
Marc Frederick Korsch, of Sarasota, Florida, a stockbroker formerly registered with Centaurus Financial Inc., has been suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that he failed to cooperate with FINRA’s request for information about his activities. Case No. 2020066487801 (December 27, 2021). FINRA Public Disclosure…
Stephen John Ferencik (also known as Stephen John Ferencilz) of Atlanta Georgia a stockbroker currently registered with Arkadios Capital is the subject of a customer initiated investment related FINRA securities arbitration claim where the customer requested $200,000.00 in damages based upon allegations of unsuitable alternative investment transactions by Ferencik and Arkadios Capital between 2017 and…
Gilberto Briseno (also known as Gilbert Briseno) of Boutte Louisiana a former stockbroker and investment adviser representative of LPL Financial is referenced in a customer initiated investment related FINRA securities arbitration claim where the customer sought compensatory damages estimated to exceed $5,000.00 founded on allegations that the customer received unsuitable investment recommendations from Briseno concerning…
Michael Joseph Sievert (also known as Mike Sievert) of Jacksonville Florida a stockbroker currently employed by Arkadios Capital has been identified in a customer initiated investment related arbitration claim where the customer sought $500,000.00 in damages founded on accusations that the customer had been placed into bad direct investments including GPB Automotive and GPB Holdings…