Investors potentially experienced sales practice violations by securities broker Nicholas Thomas Stafford IV (also known as Nicholas Lance and Lance Stafford) [CRD: 2900449, Atlanta, Georgia], given the publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Stafford worked for Bridge Capital Associates Inc. from January 10, 2020, to March 3, 2022, Emerson Equity LLC from April 7, 2022, to July 21, 2023, and Arkadios Capital and Arkadios Wealth Advisors beginning in July 2023. See the following information to learn more about Stafford’s disclosures.
Evidently, on September 8, 2025, an Emerson Equity LLC client filed FINRA Arbitration No. 25-01880 about Nicholas Stafford. Mainly, the client alleged that Stafford made unsuitable recommendations involving real estate securities and private placements. For this reason, the client allegedly suffered damages. Consequently, the client requested compensation from Emerson Equity LLC or Stafford. BrokerCheck indicates that this arbitration awaits a resolution. Stafford stated that the client used his services after considering several DST-focused advisory firms, and that he presented a diversified DST portfolio for a 1031 exchange involving appreciated Washington property.
Allegations involving unsuitable Delaware Statutory Trusts (DSTs) generally concern claims that a securities broker or financial advisor recommended investments that did not match a client’s risk tolerance, liquidity needs, objectives, or financial situation. DSTs can involve real estate, limited liquidity, and long holding periods.
Are you concerned about investments you made through Nicholas Stafford? You can contact Soreide Law Group online or at (888) 760-6552 and consult with a securities attorney regarding a potential recovery of your investment losses. Soreide Law Group has recovered losses for hundreds of individuals throughout the United States. Also, our securities lawyers handle cases on a contingency fee basis and advance all costs. Stafford and brokerage firms Stafford worked for deny accusations of sales practice violations.
Steven Graham (CRD 1977736) denies the allegations in a pending customer claim filed on August 11, 2026. The disclosure names Western International Securities as the firm, and the claim involves corporate bonds. No arbitrator has ruled on it. His BrokerCheck report also lists a settled bond dispute and a federal court matter from earlier years.
A claim filed on September 11, 2024 names Thomas Hamlin (CRD 2208505) over a 10% Senior Unsecured Note in iCap Fund III. Every disclosure on his BrokerCheck report involves an iCap private placement and names Somerset Securities as the firm. Each one settled, and a settlement is not an admission of wrongdoing.
Peter Po's most recent settlement came on June 28, 2026, when a corporate bond claim settled for $40,000. Po (CRD 3106974) appears in several settled customer disputes over corporate and high-yield bonds. The disclosures name NI Advisors or California Securities as the firm, and each matter ended in a settlement, not a finding.
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