Tag Archives: Brian Joseph Lockett

FINRA Sanctions Geneos Stockbroker For Selling Away

April 08, 2020  |   Posted by :   |   Selling Away and Outside Activities   |   Comments Off on FINRA Sanctions Geneos Stockbroker For Selling Away

Brian Joseph Lockett of Lynnwood Washington a stockbroker formerly employed by Geneos Wealth Management Inc. has been fined $5,000.00 and suspended for forty-five days from associating with any FINRA member in any capacity founded on Lockett taking part in unpermitted private securities transactions during the time that he was associated with Geneos Wealth Management. Letter […]

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Independent Financial Accused Of Unauthorized Trading

Brian Joseph Lockett of Lynwood Washington a stockbroker currently employed by Independent Financial Group LLC is the subject of a customer initiated investment related complaint which was resolved for $45,000.00 in damages on July 27, 2016 supported by allegations that unapproved and unsuitable private investment and real estate investment trust transactions had been effected in […]

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