Frank Richardson Investigation November 2021-Houston, TX According to publicly available records William Franklin (“Frank”) Richardson, Jr. , a stockbroker who is currently registered with Avantax Investment Services and who was previously…
read moreMay 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 ,…
read moreOctober 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…
read moreJuly 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…
read moreJuly 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 .…
read moreEspecially 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)…
read moreUnsuspecting 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…
read moreInvestors 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…
read more