Edward Joseph Barfield of Kirkwood, Missouri, a stockbroker registered with Geneos Wealth Management Inc., is the subject of a customer initiated investment related complaint filed on July 18, 2023, in which the customer requested $292,000.00 in damages based upon allegations that Barfield made unsuitable recommendations in life insurance products when Barfield was associated with Geneos…
Joseph Harold Sterling of Apple Valley, Minnesota, a stockbroker registered with Geneos Wealth Management Inc., was the subject of a customer initiated investment related FINRA securities arbitration claim that was settled for $80,000.00 in damages based upon allegations that Sterling made unsuitable recommendations of oil and gas investments during the time that Sterling was associated…
Richard Mark Braverman (also known as Rich Braverman) of Lancaster, Pennsylvania, a stockbroker formerly registered with Geneos Wealth Management Inc., is the subject of a customer initiated investment related FINRA securities arbitration claim which was resolved for $275,000.00 in damages based upon accusations that Braverman provided unsuitable advice to the customer regarding direct participation program…
Geneos Wealth Management, a securities broker dealer headquartered in Centennial, Colorado, has been censured and fined $150,000.00 by Financial Industry Regulatory Authority (FINRA) based upon allegations that it failed to supervise alternative investment transactions, resulting in losses to Geneos Wealth Management customers. Letter of Acceptance, Waiver, and Consent No. 2019061764701 (March 18, 2022). According to…
Richard Mark Braverman (also known as Rich Braverman) of Lancaster Pennsylvania a stockbroker and investment adviser representative of Geneos Wealth Management is referenced in a customer initiated investment related FINRA securities arbitration claim where the customer requested $1,000,000.00 in damages based on accusations that Braverman gave unsuitable advice concerning direct investments including direct participation programs…
Michael John Osland of Scottsdale Arizona a stockbroker currently registered with Geneos Wealth Management Inc. is the subject of a customer initiated investment related written complaint which was settled for $25,000.00 on August 9, 2021 based on allegations that Osland made misrepresentations to the customer in regard to a mutual fund that he sold in…
Joseph Sylvester Sturniolo of Denver Colorado a stockbroker formerly registered with Geneos Wealth Management Inc. is the subject of a customer initiated investment related FINRA securities arbitration claim in which the customer requested $75,000.00 in damages based upon accusations that Sturniolo provided unsuitable recommendations to the customer as it pertained to a real estate security,…
Richard Mark Braverman (also known as Rich Braverman) of Lancaster Pennsylvania a stockbroker currently registered with Geneos Wealth Management Inc. is referenced in a customer initiated investment related FINRA securities arbitration claim which was settled for $90,000.00 in damages founded on allegations that it was not suitable for the customer to be sold direct investments…
Michael John Osland of Scottsdale Arizona a stockbroker and investment adviser representative currently employed by Geneos Wealth Management Inc. is the subject of a customer initiated investment related arbitration claim in which the customer requested more than $5,000.00 in compensatory damages founded on accusations that a contract between the customer and the securities broker dealer…
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…
Joseph Harold Sterling of Apple Valley Minnesota a stockbroker currently registered with Geneos Wealth Management Inc. is referenced in a customer initiated investment related arbitration claim in which the customer requested $177,000.00 in damages founded on allegations that stock trades recommended by Sterling failed to be suitable given the customer’s investor profile and (2) the…
Randolph Lee Eddlemon III (also known as Randy Eddlemon) of Scottsdale Arizona a stockbroker formerly registered with Geneos Wealth Management Inc. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on allegations that Eddlemon neglected to cooperate with FINRA’s information request. Case No. 2017055260401 (Mar. 22, 2018)….
Richard Mark Braverman of Lancaster Pennsylvania a stockbroker currently registered with Geneos Wealth Management Inc. is referenced in a customer initiated investment related arbitration claim where the customer sought unspecified damages based upon accusations that (1) omissions had been made regarding the risks of investing in direct investments and real estate investments (2) fiduciary duties…
Michael John Osland of Scottsdale Arizona a stockbroker currently employed by Geneos Wealth Management Inc. is the subject of a customer initiated investment related arbitration claim where the customer sought $350,000.00 in damages founded on allegations that between 2008 and 2017, Osland made investment recommendations that were not suitable concerning (1) real estate securities (2)…
Bradley Joseph Tennison of Mesa Arizona a stockbroker formerly registered with Geneos Wealth Management Inc. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that Tennison failed to cooperate with FINRA’s investigation into allegations that he made recommendations for a former customer to…
Alan Dean Schmidgall of Jersey City New Jersey a stockbroker currently employed by Geneos Wealth Management Inc. is referenced in a customer initiated investment related written complaint which was resolved for $16,147.71 in damages based upon allegations that investment recommendations made to the customer were not suitable. FINRA Public Disclosure confirms that Schmidgall has been…
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…
Randolph Lee Eddlemon of Scottsdale Arizona is a stockbroker formerly employed with Geneos Wealth Management Inc. who has been suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon allegations that he failed to provide a response to FINRA’s request for information regarding Eddlemon’s business activities. Case No. 2017055260401…
Joseph Harold Sterling of Phoenix, Arizona, a stockbroker registered with Geneos Wealth Management, Inc., is the subject of a customer initiated investment related arbitration claim, wherein the customer requested $290,000.00 in damages based upon allegations that Sterling made unsuitable investment recommendations to the customer concerning real estate securities. FINRA Arbitration No. 17-01906 (July 19, 2017)….
A customer initiated investment related arbitration claim involving the conduct of Andrew D. Tomlinson III, of Prescott, Arizona, a stockbroker currently registered with Geneos Wealth Management, Inc., was settled for $30,000.00 in damages based upon allegations from multiple customers that Tomlinson effected unsuitable investment sales of limited partnerships in the customers’ accounts. FINRA Public Disclosure reveals…
Roger Deal, of Columbus, Nebraska, a stockbroker formerly associated with Royal Alliance Associates, Inc., has been subject to a customer initiated investment related arbitration claim, in which multiple customers have collectively requested $3,200,000.00 in damages based upon allegations that Deal effected unsuitable investment recommendations, made misrepresentations, as well as failed to conduct due diligence in…
John A. Coleman, of Pittsburgh, Pennsylvania, a stockbroker for Geneos Wealth Management, Inc., was permanently barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity after consenting to findings that he failed to cooperate in a FINRA investigation into allegations of non-disclosure of outside business activities. Letter of Acceptance, Waiver and…
Christopher S. Scott of Colorado Springs, Colorado, a registered representative with Geneos Wealth Management, Inc., was suspended from associating with any Financial Industry Regulatory Authority (FINRA) member firm and fined $5,000 after consenting to findings that he borrowed money without permission or notice to his employer. Letter of Acceptance, Waiver and Consent, No. 2015044007101 (Nov….