FINRA Fines Arkadios Capital $25,000 Over Reg BI Supervisory Failures
Key Takeaways FINRA fined Arkadios Capital $25,000 over alleged Reg BI supervisory failures. The issues covered Sept 2022 to March 2024 and involved oversight of leveraged and inverse ETFs. Arkadios was censured and ordered to pay $20,571.29 in restitution (plus interest). Arkadios Capital, LLC has agreed to pay a…
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Staff Writer
09th Feb 2026