October 2017-Apple Valley, MN
The FINRA records of Joseph H. Sterling , a stockbroker who has been registered with Geneos Wealth Management since 2005 disclose 2 pending customer disputes.
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.
The pending customer disputes both relate to the sale of real estate securities.
- FINRA Case 17-1906- A customer of Geneos Wealth Management alleges that Sterling recommended unsuitable real estate investments in 2012 and 2013 and is seeking damages of $290,000.
- FINRA Case 17-1685-A customer of Geneos Wealth Management alleges unsuitable recommendations by Sterling to invest in real estate securities and other direct investments, including limited partnerships. Damages of between $500,000 and $900,000 are sought.
Brokers are required to only recommend investments to clients that meet the client’s investment objectives and risk tolerance. Call for a no charge consultation to discuss your options.
If you have losses in an account in an account handled by Joseph H. Sterling , you may be able to recover damages through FINRA arbitration.
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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