Switch to ADA Accessible Theme
Close Menu
Free Consultation: 888-976-6111

Arkadios Advisor Mark Thompson Has $1 Million Investor Complaint

A pending investor complaint against Atlanta broker and investment advisor Mark Thompson (CRD# 4632270) alleges at least $1 million in damages. Financial Industry Regulatory Authority records show that he is a broker at Arkadios Capital and an investment advisor at EPG Wealth Management, formerly registered at Triad Advisors.

Filed in March 2022, a pending investor complaint against Mark Thompson alleges that as a representative of Triad Advisors and Arkadios Capital, he over-concentrated securities, recommended unsuitable alternative investments, and engaged in negligence. The pending complaint alleges damages of at least $1,000,000.

An earlier investor complaint, filed in May 2020, alleges that as a representative of Arkadios Capital, Mr. Thompson made misrepresentations regarding a private placement investment in February 2017. The pending complaint alleges damages of $50,000. Mr. Thompson’s Broker Comment on the disclosure states, “Client has joined a class action lawsuit against the sponsor company, not the advisor, claiming material misrepresentations and omissions.”

Another investor complaint filed in 2020 alleged that as a representative of Triad Advisors and Arkadios Capital, Mr. Thompson recommended unsuitable alternative investments in ARC Healthcare Trust II and GPB Holdings II. In February 2022 the complaint reached a settlement of $138,000. Mr. Thompson’s Broker Comment on the disclosure reads in part, “Investments were suitable and client signed off on all disclosures before investments were made.”

According to the Financial Industry Regulatory Authority, Mark Thompson holds 19 years of securities industry experience. Based in Atlanta, Georgia, he has been a representative of Arkadios Capital since 2017. His past registrations include Triad Advisors (Atlanta, Georgia; 2009-2017), LPL Financial Corporation (Atlanta, Georgia; 2006-2009), and Lincoln Financial Advisors Corporation (Atlanta, Georgia; 2003-2006). His credentials include the passage of three securities industry qualifying exams: the General Securities Representative Examination, or Series 7; the Securities Industry Essentials Examination, or SIE; and the Uniform Combined State Law Examination, or Series 66. He is licensed in Alabama, Florida, Georgia, North Carolina, Virginia, and West Virginia. (Information current as of May 22, 2022.)

Carlson Law represents investors throughout the United States in claims against financial advisors and investment firms. If you or a loved one have suffered investment losses, please call us at 888-976-6111 or complete our contact form for a free and confidential consultation.

Facebook Twitter LinkedIn
Contact Us For A Free Case Evaluation
Latest Blog Posts
  • Marc Laborde: Complaints Against Ex-UBS Advisor Settle for Millions

    Investor complaints against Houston, Texas financial advisor Marc Laborde (CRD# 4975479) have settled for millions of dollars cumulatively. Financial Industry...

    Read More
  • Mutual Fund Complaints Against Ted Boutis, Ameriprise Advisor

    Mineola, New York financial advisor Ted Boutis (CRD# 2951760) is involved in investor complaints alleging misconduct in connection with investments...

    Read More
  • Ex-Merrill Lynch Advisor Jacquin Fink: 12 Investor Complaints

    Investor complaints against former New York City financial advisor Jacquin Fink (CRD# 207807) have settled for a cumulative sum of...

    Read More
  • Simon Clarke: Options Overlay Complaint Against UBS Advisor

    Recent investor complaints against Boston financial advisor Simon Clarke (CRD# 4232824) allege more than $1 million in cumulative damages. Financial...

    Read More
  • Previous
  • Next