July 2016- Prescott, AZ
The FINRA records of Andrew D. Tomlinson III , a stock broker currently employed by Geneos Wealth Management , disclose 3 prior final customer disputes and a currently pending customer dispute .
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
In currently pending FINRA Case# 14-3735 a customer alleges damages of $300,000 related to the purchase of unsuitable limited partnership investments in 2005 and 2007.
In FINRA Case 10-4792 a customer alleged damages of $1.5 million for misrepresentations and the unsuitable investment in DBSI. That matter was settled in 2011 for $603,063.
Tomlinson has been employed by Geneos Wealth Management since 10/2006.
If you have losses in an account handled by Andrew D. Tomlinson, III, contact us to discuss your options.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
Florida-561 391 1900