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Geneos Wealth Management

Frank Richardson-Investacorp & Post Oak Capital Group-Subject of $500K Customer Suit Over REITs-Houston, Texas
Frank Richardson-Investacorp & Post Oak Capital Group-Subject of $500K Customer Suit Over REITs-Houston, Texas 150 150 Rex Securities Law

December 2018-Houston, TX According to publicly available records   William Franklin (“Frank”) Richardson, Jr.  , a  stockbroker who is currently registered with Investacorp Inc. disclose a  currently pending customer dispute involving investments…

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Bradley Tennison-Discharged by Geneos Wealth Mgmt. After Customer Files Complaint-Mesa, AZ
Bradley Tennison-Discharged by Geneos Wealth Mgmt. After Customer Files Complaint-Mesa, AZ 150 150 Rex Securities Law

May 2018-Mesa, AZ The FINRA records of  Bradley J. Tennison ,  a  stockbroker who is not currently registered and who last was employed by  Geneos Wealth Management disclose a pending customer dispute ,…

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Joseph Sterling-Geneos Wealth Management Broker-Subject of Customer Suits Over Real Estate Investments-Apple Valley, MN
Joseph Sterling-Geneos Wealth Management Broker-Subject of Customer Suits Over Real Estate Investments-Apple Valley, MN 150 150 Rex Securities Law

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…

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Roger B. Deal-Former Royal Alliance Broker-Discloses $3.2M Customer Dispute over Real Estate Investment
Roger B. Deal-Former Royal Alliance Broker-Discloses $3.2M Customer Dispute over Real Estate Investment 150 150 Rex Securities Law

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…

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Andrew D. Tomlinson-Geneos Wealth Broker-Discloses $300,000 Customer Dispute
Andrew D. Tomlinson-Geneos Wealth Broker-Discloses $300,000 Customer Dispute 150 150 Rex Securities Law

July 2016- Prescott, AZ The FINRA records of Andrew D. Tomlinson III  , a stock broker currently employed by Geneos Wealth Management , disclose 3 prior final customer disputes and a currently pending customer dispute .…

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Sun Life Annuities Can Be A Problem for Investors
Sun Life Annuities Can Be A Problem for Investors 150 150 Rex Securities Law

Especially if the annuities subaccounts are investing in hedge funds. FINRA recently investigated the following  firms in connection with  variable annuities( Foresee Strategies Insurance Funds and Sala Multi Series Fund)…

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FINRA Bars Geneos Wealth Management Broker Marc Duda
FINRA Bars Geneos Wealth Management Broker Marc Duda 150 150 Rex Securities Law

Unsuspecting and trusting investors were unaware that the nest eggs they had entrusted their broker with were being used to for his personal expenses……. including his gambling debts. While working…

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Geneos Wealth Management Stockbroker Barred by FINRA
Geneos Wealth Management Stockbroker Barred by FINRA 150 150 Rex Securities Law

Investors were unaware that the nest eggs they had entrusted their broker with were being used to for his personal expenses, including his gambling debts. While working as a registered…

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