20-00852 | 10/29/2021 | Claimant(s): Mark Burgess, Mitchell Burgess Claimant Lawyers(s): Alan L. Rosca Respondent(s): Geneos Wealth Management. Respondent Lawyers(s): Victoria H. Buter Arbitrator(s): James C. Morrow, Karen Roberts Washington, David W White Hearing Site: Kansas City, MO
| | Expungement |
20-02239 | 05/12/2021 | Claimant(s): Janet Buggeln, Janet F. Buggeln Liv Trt u/a/d 5/12/17 Claimant Lawyers(s): Jonathan Kurta Respondent(s): Geneos Wealth Management. Respondent Lawyers(s): Victoria H. Buter Arbitrator(s): George W. Harding, Aryka Steele Radke, Richard Kent Mahrle Hearing Site: Phoenix, AZ
| | Expungement |
19-03577 | 12/15/2020 | Claimant(s): Lana Salerno, Robert Kelly Claimant Lawyers(s): Nicholas J. Guiliano Respondent(s): Geneos Wealth Management. Respondent Lawyers(s): Victoria H. Buter Arbitrator(s): Joseph J. Dougherty Hearing Site: Philadelphia, PA
| | Settlement |
16-01900 | 11/02/2016 | Claimant(s): Jeffrey Owen Roth IRA, Wendy Heywood Roth IRA Claimant Lawyers(s): Gary Menzer Respondent(s): Geneos Wealth Management. Respondent Lawyers(s): Michelle M. Atlas Arbitrator(s): James B. Eichberg Hearing Site: Denver, CO
| | $0 |
14-01717 | 12/19/2014 | Claimant(s): Arlene Tesch, Kathleen Johnson Claimant Lawyers(s): T. John Kirk Respondent(s): Geneos Wealth Management. Respondent Lawyers(s): Jodee Brubaker-Rager Arbitrator(s): Jack D. Elmquist Hearing Site: Minneapolis, MN
| | Dismissed by Rule 12206 |
13-02680 | 04/29/2014 | Claimant(s): Robert Burns, Robert E. Burns IRA Claimant Lawyers(s): Keith L. Griffin Respondent(s): Geneos Wealth Management. Respondent Lawyers(s): K. Clark Phipps Arbitrator(s): Maxel (Bud) B. Silverberg Hearing Site: Oklahoma City, OK
| | $300 |
10-01465 | 05/02/2011 | Claimant(s): Dolores Keener Claimant Lawyers(s): Stephen P. Meyer Respondent(s): David Arthur, Geneos Wealth Management., Investors Financial Advisors. Respondent Lawyers(s): John O. Easton Arbitrator(s): Donald B. Vaden, Alex H. Keller, John G. Byrd Hearing Site: Charleston, WV
| | $0 |