Wall, NJ – December 6, 2025 – Ronald Norman York Jr (CRD# 4308987), a broker registered with Arkadios Capital and Arkadios Wealth Advisors in Wall, New Jersey, has two customer complaints on his FINRA BrokerCheck record. One complaint was settled in 2021 for $39,500 involving allegations of unsuitable investments in GPB Holdings, a direct investment product. A second complaint filed in October 2025 alleges the unsuitable purchase of a Delaware Statutory Trust (DST) private placement. This article provides factual information from publicly available FINRA records to help investors understand their rights and options for recovering investment losses.
BrokerCheck Snapshot
Name: Ronald Norman York Jr
CRD #: 4308987
Firm: Arkadios Capital / Arkadios Wealth Advisors
Location: Wall, NJ
Years in Industry: 26
Number of Disclosures: 2
Customer Complaints Against Ronald Norman York Jr
According to FINRA BrokerCheck records, Ronald Norman York Jr has two customer complaints:
Complaint 1: Settled FINRA Arbitration (2020-2021)
Date Filed: September 18, 2020
Date Complaint Received: September 22, 2020
Status: Settled (November 19, 2021)
Nature of Complaint: More than five years post investment and after receiving approximately $30,000 in distributions, claimant alleged the $100,000 investment she elected to make in GPB Holdings in 2015 was unsuitable.
Products Involved:
- Direct Investment-DPP & LP Interests (GPB Holdings)
Alleged Damages: $100,000
Arbitration Forum: FINRA
Case Number: 20-03300
Employing Firm When Activities Occurred: Triad Advisors LLC (CRD# 25803)
Current Employing Firm: Arkadios Capital
Settlement Amount: $39,500
Individual Contribution: $0.00
Broker Statement: Mr. York stated the client has made numerous investments through the firm and several have carried risk. She understood the risks and approved the investments and considered them to be commensurate with her risk tolerance. She is an educated, experienced, accredited investor.
GPB Holdings became the subject of regulatory scrutiny and allegations of broker misconduct related to the sale of these alternative investments. Many investors alleged that brokers failed to adequately disclose the illiquid nature, high fees, and risks associated with GPB Capital Holdings funds. Even experienced investors may have valid claims if material facts were not properly disclosed or if the investments were not suitable for their individual circumstances.
Complaint 2: Pending FINRA Arbitration (2025)
Date Filed: October 28, 2025
Status: Pending Arbitration
Nature of Complaint: Customer alleges unsuitable purchase of a DST (Delaware Statutory Trust – private placement) on February 1, 2022.
Products Involved:
- DST (Delaware Statutory Trust – private placement)
Alleged Damages: To Be Determined (TBD)
Arbitration Forum: FINRA
Case Number: 25-02310
Employing Firm When Activities Occurred: Arkadios Capital
Current Employing Firm: Arkadios Capital
Delaware Statutory Trusts are illiquid real estate investment vehicles that often require investors to hold their investments for extended periods without access to their capital. Like other alternative investments, DSTs carry significant risks including lack of liquidity, concentration in specific real estate assets, and limited ability to exit the investment. Brokers recommending DSTs must ensure these investments align with a client’s risk tolerance, liquidity needs, and overall investment objectives. Failure to conduct proper suitability analysis may constitute broker misconduct.
Pattern of Complaints / Risk Factors
The two complaints against Ronald Norman York Jr share a common theme: allegations of unsuitable investmentsinvolving alternative investment products with limited liquidity. Both GPB Holdings and Delaware Statutory Trusts are complex investments that may not be appropriate for all investors. These products typically feature high fees, illiquidity, limited transparency, and concentrated risk profiles. Investors who purchased similar alternative investment products should carefully review account statements and seek legal guidance if they experienced comparable issues.
Can Investors Recover Losses?
Investors who were recommended unsuitable or high-risk alternative investments may have legal recourse through FINRA arbitration or securities litigation. Patil Law, P.C. has over 15 years of experience representing investors in FINRA arbitration and securities litigation, with more than $25 million recovered for clients across 1,000+ cases. We provide a free, confidential consultation to review your potential claim. Our firm works on a contingency fee basis, meaning you pay no attorney fees unless we successfully recover money for you.
If you have concerns about unsuitable recommendations involving GPB Holdings, DSTs, or other alternative investments, or if you experienced broker misconduct involving Ronald Norman York Jr or Arkadios Capital, contact Patil Law, P.C. at 800-950-6553 or info@patillaw.com for a free case evaluation.
About FINRA Arbitration
FINRA arbitration is a streamlined dispute resolution process for securities-related claims. It offers a faster, more cost-effective alternative to traditional court litigation. Most cases are resolved within 12-16 months. Claims generally must be filed within six years of the incident. FINRA arbitration is the primary forum for resolving disputes between investors and brokers or brokerage firms.
Related Brokers and Firms
Investors who have concerns about brokers at Arkadios Capital or Arkadios Wealth Advisors may wish to review other advisors at the firm or similar allegations at other brokerage firms. Additionally, if your losses involved GPB Holdings, Delaware Statutory Trusts, unsuitable alternative investments, or inadequate risk disclosures, our firm has extensive experience handling these types of cases nationwide.
Frequently Asked Questions
Q1: What are the complaints against Ronald Norman York Jr?
Ronald Norman York Jr has two customer complaints on his FINRA BrokerCheck record. The first complaint, filed in 2020, alleged unsuitable investment in GPB Holdings purchased in 2015. That case settled in 2021 for $39,500 with no individual contribution from Mr. York. The second complaint, filed in October 2025, alleges unsuitable purchase of a Delaware Statutory Trust (DST) private placement in 2022. This matter is currently pending in FINRA arbitration.
Q2: Can investors recover losses involving Arkadios Capital?
Yes. Investors who suffered losses due to broker misconduct, unsuitable recommendations, or inadequate disclosure at Arkadios Capital may be entitled to recover damages through FINRA arbitration. Securities laws require brokers to recommend only those investments that are suitable for their clients based on the client’s financial situation, investment experience, risk tolerance, and investment objectives. An experienced securities attorney can evaluate your claim and explain your recovery options.
Q3: What is FINRA arbitration?
FINRA arbitration is a dispute resolution process administered by the Financial Industry Regulatory Authority. It is designed to resolve investment-related disputes between investors and brokers or brokerage firms. The process is typically faster and less expensive than going to court. A panel of arbitrators reviews evidence and renders a binding decision. Most cases settle before reaching a final hearing. FINRA arbitration provides an effective forum for investors to pursue claims against brokers and brokerage firms.
Q4: What is GPB Holdings and why is it controversial?
GPB Holdings (GPB Capital Holdings) marketed private placement investments in alternative assets including automotive dealerships and waste management businesses. The funds became subject to regulatory investigations and allegations of fraud, misrepresentation, and unsuitable sales practices. Many investors alleged they were not adequately informed about the illiquid nature of the investments, high fees, valuation concerns, and related risks. Brokers who sold GPB Holdings funds may face liability for unsuitable investment recommendations and failure to disclose material risks.
Q5: What is a Delaware Statutory Trust (DST)?
A Delaware Statutory Trust is a real estate investment vehicle often used in 1031 exchanges to defer capital gains taxes. DSTs are illiquid investments with significant risks including lack of liquidity, concentration in specific properties, limited management control, and the potential for total loss. DSTs may only be suitable for certain investors with appropriate risk tolerance, liquidity, and investment timeframes. Brokers recommending DSTs must ensure the investments align with the client’s financial profile and objectives.
Q6: How do I look up a broker on BrokerCheck?
Visit FINRA’s BrokerCheck website at brokercheck.finra.org. You can search by the broker’s name or CRD number. The report will display the broker’s employment history, professional qualifications, registrations, and any disclosure events such as customer complaints, regulatory actions, or criminal history. Reviewing a broker’s BrokerCheck record is an essential step before investing.
About Patil Law, P.C.
Patil Law, P.C. is a securities litigation firm dedicated to representing investors who have suffered losses due to broker misconduct, unsuitable recommendations, and securities fraud. Founded in 2018 by attorney Chetan Patil, the firm focuses exclusively on FINRA arbitration and investment loss recovery.
With over 15 years of combined experience in securities law, Patil Law has successfully recovered more than $25 million for clients across 1,000+ cases. Attorney Chetan Patil earned his law degree from Case Western Reserve University School of Law. Attorneys Gabriela Dubrocq and Patricia Herrera earned their law degrees from University of Miami. The firm handles cases nationwide involving unauthorized trading, churning, unsuitable investments, breach of fiduciary duty, and failure to supervise.
Patil Law works on a contingency fee basis, meaning clients pay no attorney fees unless the firm successfully recovers money on their behalf. All consultations are free and confidential.
Contact Patil Law, P.C.
If you lost money investing with Ronald Norman York Jr or any broker at Arkadios Capital or Arkadios Wealth Advisors, contact Patil Law, P.C. today for a free, no-obligation consultation. Our experienced securities attorneys will review your case and explain your legal options.
Call: 800-950-6553
Email: info@patillaw.com
Website: investmentlosslawyer.com
We represent investors nationwide on a contingency fee basis. You pay nothing unless we recover money for you.
Disclaimer
The information in this post is based on FINRA BrokerCheck records and public filings. Allegations described may be pending or unproven and may be contested. All investors are entitled to fair treatment under securities laws. This is attorney advertising. Prior results do not guarantee a similar outcome. This communication is for informational purposes only and does not create an attorney-client relationship.
