Tag Archives: Geneos Wealth Management Inc.

Geneos Wealth Management Accused Of Misrepresentation

September 16, 2021  |   Posted by :   |   FINRA Securities Arbitration, Investment and Regulatory News, Non-traded REITs   |   Comments Off on Geneos Wealth Management Accused Of Misrepresentation

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 […]

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Investors File Arbitration Claim Against Geneos Wealth

June 12, 2021  |   Posted by :   |   FINRA Securities Arbitration, Investment and Regulatory News, Non-traded REITs, Unsuitable Investment Recommendations   |   Comments Off on Investors File Arbitration Claim Against Geneos Wealth

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, […]

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Investors Sue Geneos For Breach Of Contract

September 14, 2020  |   Posted by :   |   Non-traded REITs, Securities Arbitration Claims   |   Comments Off on Investors Sue Geneos For Breach Of Contract

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 […]

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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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Geneos Sued For Defective Oil And Gas Investments

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 […]

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Geneos Stockbroker Barred In FINRA Investigation

October 14, 2019  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

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). […]

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Geneos Sued By Investor For Breach Of Fiduciary Duty

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 […]

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Geneos Wealth Management Sued For Mutual Fund Fraud

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) […]

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Geneos Stockbroker Barred For Obstructing Investigation

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 […]

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Geneos Wealth Management Accused Of Unsuitable Investments

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 […]

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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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Geneos Stockbroker Suspended For Ignoring Regulator

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 […]

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Geneos Wealth Management Sued For Unsuitable REITS

November 21, 2017  |   Posted by :   |   Investment and Regulatory News, Non-traded REITs   |   0 Comments

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). […]

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Geneos Wealth Management Named in Customer Arbitration Alleging Unsuitability

November 18, 2016  |   Posted by :   |   Securities Arbitration Claims   |   0 Comments

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 […]

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Geneos Wealth Management Stockbroker Barred In Investigation

August 08, 2016  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

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 […]

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