Articles Tagged with David Geake

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Geake (Geake), previously associated with American Trust Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Geake recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $50,000.00 on March 10, 2025.

Failure to conduct due diligence on alternative investments

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Geake (Geake), previously associated with American Trust Investment Services, Inc., has at least 27 disclosable events. These events include 25 customer complaints, 2 tax liens, alleging that Geake recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on March 05, 2025.

Unsuitable recommendations of alternative investments.

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Geake (Geake), previously associated with American Trust Investment Services, Inc., has at least 25 disclosable events. These events include 23 customer complaints, 2 tax liens, alleging that Geake recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $200,000.00 on January 21, 2025.

Breach of Fiduciary Duty; Suitability; Misrepresentation; FINRA Rules 2010, IM-2310-2 & 2020; Failure to Supervise; Breach of Contract