Rex Securities Law
November 11, 2021
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Frank Richardson-Former Investacorp Broker-Settles Customer Suit Involving REITs-Houston, Texas

Frank Richardson-Former Investacorp Broker-Settles Customer Suit Involving REITs-Houston, Texas https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g November 11, 2021 November 11, 2021

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…

Rex Securities Law
May 24, 2018
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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 https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g May 24, 2018 May 24, 2018

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 ,…

Rex Securities Law
October 19, 2017
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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 https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g October 19, 2017 March 29, 2018

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…

Rex Securities Law
July 11, 2016
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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 https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g July 11, 2016 July 11, 2016

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…

Rex Securities Law
July 11, 2016
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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 https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g July 11, 2016 July 11, 2016

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 .…

Rex Securities Law
February 11, 2013
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Sun Life Annuities Can Be A Problem for Investors

Sun Life Annuities Can Be A Problem for Investors https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g February 11, 2013 October 18, 2014

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)…

Rex Securities Law
August 15, 2012
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FINRA Bars Geneos Wealth Management Broker Marc Duda

FINRA Bars Geneos Wealth Management Broker Marc Duda https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g August 15, 2012 July 10, 2017

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…

Rex Securities Law
May 18, 2012
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Geneos Wealth Management Stockbroker Barred by FINRA

Geneos Wealth Management Stockbroker Barred by FINRA https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g May 18, 2012 October 18, 2014

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…