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Suzanne Wheeler: $500K Complaint Against Olney Advisor
Arkadios Capital financial advisor Suzanne Wheeler (CRD# 1107381) allegedly recommended unsuitable investments, according to a recent complaint filed against her. Financial Industry Regulatory Authority records show that she is a broker and an investment advisor based in Olney, Maryland.
Ms. Wheeler’s BrokerCheck report discloses one investor complaint. Filed in August 2022, it alleges that as a representative of Coastal Equities, she recommended unsuitable alternative investments. (More information on FINRA’s suitability rule, which requires brokers to recommend investments and strategies in line with a customer’s individual background and objectives, is available here.) The pending complaint alleges damages of $500,000. A comment on the disclosure notes that her current member firms, Arkadios Capital and Arkadios Wealth Advisors, “were also named as Respondents” in the complaint.
According to the Financial Industry Regulatory Authority, Suzanne Wheeler holds 21 years of securities industry experience. Based in Olney, Maryland, she has been a broker with Arkadios Capital and an investment advisor with Arkadios Wealth Advisors since 2019. Her past registrations include Coastal Equities (Rockville, Maryland; 2018-2019), Securities Service Network (Gaithersburg, MAryland; 2011-2018), National Planning Corporation (Gaithersburg, Maryland; 2003-2011), Cambridge Investment Research (Fairfield, Iowa; 2002), and US Clearing Corporation (Dallas, Texas; 1995-1998). Her credentials include the passage of four securities industry qualifying exams: the General Securities Representative Examination, or Series 7; the Securities Industry Essentials Examination, or SIE; the Uniform Combined State Law Examination, or Series 66; and the Uniform Investment Adviser Law Examination, or Series 65. She is licensed in California, Maryland, New York, South Carolina, and Texas. (Information current as of September 14, 2022.)
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