Nex Systems
Type not stated

Geneos Wealth Management Inc.

Regulator action

United States. Named in 4 sanctions listings.

Screen this subject

Sanctions and listings4

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    11/01/2006: NASD OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Geneos Wealth Management, Inc., CRD No. 120894, Respondent. Disciplinary Proceeding No. E3A20040062-01 Hearing Officer: DRP ORDER ACCEPTING OFFER OF SETTLEMENT Date: November 1, 2006 INTRODUCTION Disciplinary Proceeding No. E3A20040062-01 was filed on May 15, 2006, by the Department of Enforcement of NASD ("Enforcement"). Respondents Geneos Wealth Managent, Inc. and Jodee M. Brubaker-Rager submitted an Offer of Settlement

    Reference E3A2004006201data-portal.finra.orgfinra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    10/30/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OF ACCEPTANCE, WAIVER AND CONSENT NO. 2012032374601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Geneos Wealth Management, Inc., Respondent CRD No. 120894 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure Respondent Geneos Wealth Management ("Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for lhe purpose of proposing a settlement of the alleged

    Reference 2012032374601data-portal.finra.orgfinra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    03/18/2022: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019061764701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Geneos Wealth Management, Inc., Respondent Member Firm CRD No. 120894 Pursuant to FINRA Rule 9216, Respondent Geneos Wealth Management, Inc. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition

    Reference 2019061764701finra.orgdata-portal.finra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    03/21/2007: NASD OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Geneos Wealth Management, Inc., CRD No. 120894 Respondent. Disciplinary Proceeding No. 2005000863703 Hearing Officer- SNB ORDER ACCEPTING OFFER OF SETTLEMENT Date: March 21, 2007 INTRODUCTION Disciplinary Proceeding No. 2005000863703 was filed on October 5, 2006, by the Department of Enforcement of NASD ("Complaint"). Respondent Geneos Wealth Management, Inc., submitted an Offer of Settlement to the Department on March 8, 2007.

    Reference 2005000863703data-portal.finra.orgfinra.org

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.