July 2016- Columbus, Nebraska
The FINRA records of Roger B. Deal , a stock broker currently employed by Geneos Wealth Management , disclose a currently pending customer dispute .
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
In a currently pending case CL14-7646, in the District Court of Douglas County Nebraska, a customer while Deal was employed by Royal Alliance Associates, alleges damages of $3.2 million in connection with an investment in a real estate tenant in common investment (TIC) that the former customer alleges was purchased based on misrepresentations and which is also unsuitable.
Deal has been employed by Geneos Wealth Management since 9/2014. Prior to that he was employed by Royal Alliance Associates from 6/2001-9/2014.
If you have losses in an account handled by Roger B. Deal, contact us to discuss your options.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
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