Geneos settles FINRA case involving GPB and LJM for $400K
The FINRA order includes allegations relating to the LJM Preservation & Growth Fund, another product sold in large numbers by the industry.
Source: financial-planning.com
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Geneos tagged with $400,000 penalty over alternatives sales
Geneos Wealth Management Inc. agreed to a $400,000 settlement with Finra related to sales of two alternative investments, LJM and GPB.
United States Ryan Diachok Exchange Commission Financial Industry Regulatory Authority Inc Capital Holdings Preservation Growth Fund
Source: investmentnews.com
Geneos Wealth Management CEO Russell Diachok Retires From His Role
Diachok’s nephew, Ryan Diachok, current president of Geneos, has taken over the CEO duties. Russell Diachok, who co-founded Denver-based independent broker/dealer Geneos Wealth Management with his father in 2002, has retired from his role as chief executive of the firm, which has more than 280 advisors and revenues of $130 million. Diachok’s nephew, Ryan Diachok, current president of Geneos, has taken over the CEO duties. The succession was executed via an internal buyout. Geneos’ ...
United States Russell Diachok Jodee Brubaker Rager Ryan Diachok Axiom Advisory Solutions Geneos Wealth Management
Source: wealthmanagement.com