| 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 |
| 20-01015 | 12/17/2020 | Claimant(s): Richard Braverman
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): FSC Securities Corporation, Geneos Wealth Management.
Respondent Lawyers(s): James Noblett, Victoria H. Buter
Arbitrator(s): Robert E. Anderson
Hearing Site: Wilmington, DE
| | |
| 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 |
| 20-01034 | 12/09/2020 | Claimant(s): Samuel Monchik
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): FSC Securities Corporation, Geneos Wealth Management.
Respondent Lawyers(s): James Noblett, Victoria H. Buter
Arbitrator(s): Guillermo L. Bosch
Hearing Site: Wilmington, DE
| | |
| 20-00972 | 10/21/2020 | Claimant(s): Lawrence Finch
Claimant Lawyers(s): Frances Menzer
Respondent(s): Geneos Wealth Management.
Respondent Lawyers(s): Victoria H. Buter
Arbitrator(s): Frances Johnson Wright
Hearing Site: Denver, CO
| | |
| 20-00688 | 10/19/2020 | Claimant(s): Joseph Sturniolo
Claimant Lawyers(s): Michael Bessette
Respondent(s): Geneos Wealth Management.
Respondent Lawyers(s): Victoria H. Buter
Arbitrator(s): Frances Johnson Wright
Hearing Site: Denver, CO
| | |
| 19-02762 | 05/08/2020 | Claimant(s): Michael Osland
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Geneos Wealth Management.
Respondent Lawyers(s): Victoria H. Buter
Arbitrator(s): Jay Lawrence Witkin
Hearing Site: Phoenix, AZ
| | |
| 19-02796 | 03/24/2020 | Claimant(s): Marc Silverman
Claimant Lawyers(s): Benjamin J. Biard
Respondent(s): Geneos Wealth Management.
Respondent Lawyers(s): Victoria H. Buter
Arbitrator(s): Mark C. Perry
Hearing Site: Boca Raton, FL
| | |
| 18-01550 | 12/13/2019 | Claimant(s): Joseph Sturniolo
Claimant Lawyers(s): Michael Bessette
Respondent(s): Geneos Wealth Management.
Respondent Lawyers(s): Victoria H. Buter
Arbitrator(s): Donald N. Tolin
Hearing Site: Denver, CO
| | |
