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.
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’ holding company will purchase a portion of Russell’s shares and retire them. He keeps some stock i...
Source: wealthmanagement.com