| 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
| | |
| 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
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