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FINRA Awards for Geneos Wealth Management.

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Displaying 11-17 out of 17 results
Case Number Award Date Case Summary Customer Case? Amount Granted
19-0073910/24/2019Claimant(s): Brian Lockett, Morgan Arford
Claimant Lawyers(s): John A. Bender
Respondent(s): Geneos Wealth Management.
Respondent Lawyers(s): Victoria H. Buter
Arbitrator(s): Philip E. Cutler
Hearing Site: Seattle, WA
18-0034311/26/2018Claimant(s): Karl Frank
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Geneos Wealth Management.
Respondent Lawyers(s): Victoria H. Buter
Arbitrator(s): Donald N. Tolin
Hearing Site: Denver, CO
17-0124512/14/2017Claimant(s): Marc Silverman
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Securities America., Geneos Wealth Management.
Respondent Lawyers(s): Christina Heller, Michelle M. Atlas
Arbitrator(s): Barry David Thorpe
Hearing Site: Miami, FL
16-0190011/02/2016Claimant(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
Checkmark Icon$0
14-0171712/19/2014Claimant(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
Checkmark IconDismissed by Rule 12206
13-0268004/29/2014Claimant(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
Checkmark Icon$300
10-0146505/02/2011Claimant(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
Checkmark Icon$0

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