10.0David P Neuman
(720) 599-3505

BRIAN LOCKETT of Geneos Wealth SUSPENDED – Lynnwood, WA

Tag Archives: Comprehensive Wealth Management

13
Nov

BRIAN LOCKETT of Geneos Wealth SUSPENDED – Lynnwood, WA

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BRIAN LOCKETT of Geneos Wealth SUSPENDED – Lynnwood, WA

Brian Lockett, formerly with Geneos Wealth Management and Independent Financial Services, Suspended 45 Days   Have you lost money with financial advisor Brian Lockett of Lynnwood, Washington?  We are investigating allegations made against Brian J. Lockett. FINRA (the Financial Industry Regulatory Authority) suspended Lockett for 45 days and fined him $5,000 regarding allegations that he ...

06
Jul

WARNING! Impending Investigation: BRIAN LOCKETT and GENEOS WEALTH MANAGEMENT

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WARNING!  Impending Investigation:  BRIAN LOCKETT and GENEOS WEALTH MANAGEMENT

Brian Lockett and Geneos Wealth Management   Have you lost money with financial advisor Brian Lockett of Lynnwood, Washington?  We are investigating allegations made against Brian J. Lockett. According to Brian Lockett’s BrokerCheck report, Lockett has been the subject of at least four customer complaints between December 2012 and the present.  The customer complaints allege ...

02
Nov

WARNING! Impending Investigation: GARY ARFORD and INDEPENDENT FINANCIAL GROUP

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WARNING!  Impending Investigation:  GARY ARFORD and INDEPENDENT FINANCIAL GROUP

Gary Arford and Independent Financial Group   Have you lost money with financial advisor Gary M. Arford of Lynnwood and Edmonds, Washington?  We are investigating allegations made by the Securities and Exchange Commission (SEC) against Gary Arford. The SEC alleged that Arford made misrepresentations in connection with a private fund that he managed, and that ...

10.0David P Neuman

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