Advisor Richard Braverman (Braverman), currently employed by Geneos Wealth Management, Inc. (Geneos Wealth) has been subject to at least five customer complaints during the course of his career. According to a BrokerCheck report the customer complaints mostly concerns alternative investments such as direct participation products (DPPs) like non-traded real estate…
Advisor Samuel Monchik (Monchik), currently employed by Geneos Wealth Management, Inc. (Geneos Wealth) has been subject to at least two customer complaints. According to a BrokerCheck report many of the customer complaints concern alternative investments and direct participation products (DPPs) such as non-traded real estate investment trusts (REITs), oil &…
The investment fraud attorneys at Gana Weinstein LLP have currently been investigating previously registered broker Bradley Tennison (Tennison). According to BrokerCheck Records kept by the Financial Industry Regulatory Authority (FINRA), Tennison was barred from the financial industry due to a customer complaint alleging Tennison’s selling away activities during his employment…
The investment attorneys at Gana Weinstein LLP are currently investigating previously registered broker Bradley Tennison (Tennison). According to BrokerCheck Records, the Financial Industry Regulative Authority (FINRA) barred Tennison indefinitely from the financial industry for failing to appear to an on the record testimony regarding an investigation of Tennison’s outside business…
The investment fraud attorneys with Gana Weinstein LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against Joseph Sterling (Sterling) currently associated with Geneos Wealth Management, Inc. (Geneos Wealth). According to brokercheck records Sterling has been subject to three customer complaints. Two of the most recent…
The investment fraud lawyers of Gana Weinstein LLP are investigating regulatory complaints of broker Thomas Edward Gackle (Gackle). According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Thomas Edward Gackle was permanently barred in July 2016 from the securities industry for failing to appear for on-the-record…
Recently, Joseph Sturniolo’s (Sturniolo) attorney reached out to our firm to inform us that our post on Sturniolo was inaccurate. The post detailed that Sturniolo had been subject to at least eight customer complaints and that the many of these complaints involved the recommendation of unsuitable and misrepresented recommendations concerning…
The Securities and Exchange Commission (SEC) brought an enforcement action against broker Gary Arford (Arford) resulting in a monetary sanctions of $4,226,684. In addition, according to the BrokerCheck records kept by FINRA, Arford has been the subject of at least 10 customer complaints. The customer complaints against Arford allege unsuitable…