Former Geneos Wealth Management Investment Advisor and Broker Bradley Tennison barred from securities industry by FINRA for failure to cooperate in investigation

Bradley Tennison (Bradley Joseph Tennison) has consented to a sanction from FINRA (the Financial Industry Regulatory Authority). FINRA is a non-governmental regulator of securities firms that focuses on investor protection and market integrity through effective and efficient regulation of the securities industry. The attorneys of Fishman Haygood Investment Fraud Lawyers are currently investigating possible claims against stockbroker Bradley Tennison.

In July 2018 Bradley Tennison was barred indefinitely from practicing as a broker. Bradley Tennison worked for Geneos Wealth Management, Inc in Mesa, Arizona from 2005 to 2018.

Bradley Tennison was previously associated with Oberlin Financial Corp. (2004 – 2005), First Allied Securities, Inc (2000 – 2004), and D.E. Frey & Company, Inc (1992 – 2000) .

FINRA alleges that Bradley Tennison engaged in the following misconduct: refusal to cooperate with a FINRA investigation into the practice of “selling away” from his member firm.

FINRA’s investigation involved allegations that Tennison recommended a $300,000 investment away from Geneos Wealth Management to a former firm customer. This risky practice is called “selling away” and is a violation of securities regulations because it involves a broker receiving a commission for selling a product to a customer that has not been approved or had due diligence performed by the firm. Tennison refused to appear to provide on-the-record testimony regarding the allegations. Tennison has neither admitted nor denied the investigation findings, but his refusal to cooperate with the investigation has resulted in being barred indefinitely from the securities industry by FINRA.

Bradley Tennison has been the subject of at least 3 customer disputes.

If you invested money through Bradley Tennison, we would like to talk to you. Fishman Haygood Investment Fraud Lawyers are experienced securities litigators. We have helped hundreds of clients recover their losses that were due to broker fraud or negligence. Contact us today to discuss your options and receive a free consultation.

Fishman Haygood Investment Fraud Lawyers represents investors who have suffered investment losses in claims against their brokers or financial advisors. Our experienced attorneys have brought securities fraud cases in state and federal courts across the nation, as well as in FINRA arbitration. We work to help investors recoup their losses.

Of course, all cases are different. For that reason, we analyze each client’s matter individually and provide our personalized evaluation only after considering all of the facts and circumstances of all possible claims. If you or someone you know is the victim of securities fraud, please contact a Fishman Haygood Investment Fraud lawyer today.

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