Nex Systems
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Arkadios Capital LLC

Regulator action

United States. Named in 1 sanctions listing.

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Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    02/05/2026: From September 2022 through March 2024, Arkadios Capital failed to establish, maintain, and enforce a supervisory system, including written policies and procedures, reasonably designed to achieve compliance with the Care Obligation of Rule 15/-1 of the Securities Exchange Act of 1934 (Reg BI) regarding recommendations of leveraged and inverse exchange-traded funds (Non-Traditional ETFs). As a result, the firm failed to comply with Reg Bi's Compliance Obligation and therefore violated Exchange Act Rule 15/-1 (a)(l) and also violated FINRA Rules 3110 and 2010. For its violations, Arkadios Capital is censured, fined $25,000, and ordered to pay restitution of $20,571.29 plus interest.

    Reference 2023077131501data-portal.finra.orgfinra.org

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