23-02881 | 09/11/2024 | Claimant(s): Bruce Kimball Claimant Lawyers(s): Bruce M. Kimball Respondent(s): Securities America., Geneos Wealth Management Respondent Lawyers(s): Jennifer R. Cox, Victoria H. Buter Arbitrator(s): David A. Schuler Hearing Site: Dallas, TX
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23-01735 | 12/21/2023 | Claimant(s): Craig Splan Claimant Lawyers(s): Stephan Louviere Respondent(s): Geneos Wealth Management Respondent Lawyers(s): Victoria H. Buter Arbitrator(s): Michael S. Matek Hearing Site: Kansas City, MO
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22-02623 | 09/18/2023 | Claimant(s): Charles Irvine Claimant Lawyers(s): Lars Soreide Respondent(s): Geneos Wealth Management Respondent Lawyers(s): Victoria H. Buter Arbitrator(s): Sandra L. Malek, Franklin Delano Dodge, Blake Rayfield Hearing Site: Phoenix, AZ
| | Expungement |
22-01275 | 08/07/2023 | Claimant(s): Ray Nuss Claimant Lawyers(s): Ray Nuss Respondent(s): Edward Jones Respondent Lawyers(s): Victoria H. Buter Arbitrator(s): Rhonda S. McCarthy, Leonard Arthur Nelson, Troy J. Bird Hearing Site: Omaha, NE
| | Dismissed by Rule 12212 |
22-01537 | 06/07/2023 | Claimant(s): David Pitlor Claimant Lawyers(s): David Pitlor Respondent(s): Garrett Wynne, Charles Schwab & Co.., TD Ameritrade., Stacy Fries Respondent Lawyers(s): Victoria H. Buter Arbitrator(s): Rochelle E. Dillard, Susan L. Walker, Matthew Rothchild Hearing Site: Omaha, NE
| | Dismissed by Rule 12504 |
22-01816 | 03/17/2023 | Claimant(s): Robert Stanlick Claimant Lawyers(s): Avinoam Rosenfeld Respondent(s): Piper Jaffray & Co., Geneos Wealth Management Respondent Lawyers(s): Bridget Larsen, Victoria H. Buter Arbitrator(s): Tina Alison Davis, Douglas Lou Dombey, Fernando Lugo Hearing Site: Denver, CO
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22-00031 | 09/08/2022 | Claimant(s): Joseph Sturniolo Claimant Lawyers(s): Michael Bessette Respondent(s): Geneos Wealth Management Respondent Lawyers(s): Victoria H. Buter Arbitrator(s): Anita Rae Shapiro Hearing Site: Denver, CO
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21-00513 | 05/26/2022 | Claimant(s): William Nies Claimant Lawyers(s): Adam J. Weinstein Respondent(s): Geneos Wealth Management Respondent Lawyers(s): Victoria H. Buter Arbitrator(s): Diane Ciccone, Doris J. Dabrowski, Mary S. Wyatte Hearing Site: Philadelphia, PA
| | Expungement |
20-03501 | 01/21/2022 | Claimant(s): David E. Hillin IRA, David and Denise Hillin Trust Claimant Lawyers(s): D. Daxton White Respondent(s): Geneos Wealth Management Respondent Lawyers(s): Victoria H. Buter Arbitrator(s): Lynne M. Gomez, Paul E. Dahlman, Michael D. Briggs Hearing Site: Oklahoma City, OK
| | Expungement |
21-01380 | 11/19/2021 | Claimant(s): Christopher Briggs Claimant Lawyers(s): Kristian Kraszewski Respondent(s): Geneos Wealth Management Respondent Lawyers(s): Victoria H. Buter Arbitrator(s): Wayne Reid Nelson Hearing Site: Phoenix, AZ
| | Expungement |