Articles Posted in Geneos Wealth Management

The Financial Industry Regulatory Authority (“FINRA”) has sanctioned Geneos Wealth Management, Inc. (“Geneos Wealth Management”) for failing to reasonably supervise brokers’ recommendations of the LJM Preservation & Growth Fund.  Geneos Wealth Management was also sanctioned for negligently omitting to tell investors in an offering related to GPB Capital Holdings, LLC…

Geneos Wealth Management, Inc. is a Colorado-based broker-dealer. According to publicly available records, the firm is facing a $1 million customer complaint over a former broker’s recommendations to a client to invest in three GPB Capital funds: GPB Holdings II, GPB Automotive Portfolio, and GPB Waste Management. Iorio Altamirano LLP…