FINRA Awards for Geneos Wealth Management

Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:

Displaying 8 out of 8 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
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
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
22-01816	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
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
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
20-03177	03/18/2021	Claimant(s): Todd Anderson Claimant Lawyers(s): Ross Kartez Respondent(s): Geneos Wealth Management Respondent Lawyers(s): Victoria H. Buter Arbitrator(s): Merton E. Marks Hearing Site: Phoenix, AZ