Joseph Harold Sterling of Phoenix, Arizona, a stockbroker registered with Geneos Wealth Management, Inc., is the subject of a customer initiated investment related arbitration claim, wherein the customer requested $290,000.00 in damages based upon allegations that Sterling made unsuitable investment recommendations to the customer concerning real estate securities. FINRA Arbitration No. 17-01906 (July 19, 2017).

Financial Industry Regulatory Authority (FINRA) Public Disclosure additionally reveals that a customer investment related arbitration claim involving Sterling’s conduct was resolved for $8,500.00 in damages, based upon allegations that Sterling, while associated with SunAmerica Securities, Inc., effected unsuitable transactions in the customer’s account. National Association of Securities Dealers (NASD) Arbitration No. 07-00930 (Dec. 31, 2007). Apparently, Sterling traded the customer’s bond positions for mutual funds, causing the customer to be exposed to risks that exceeded her risk tolerance.

Subsequently, a customer filed an investment related arbitration claim pertaining to Sterling’s conduct, in which the customer sought $500,00.00 in damages supported by accusations that Sterling made unsuitable investment recommendations to the customer regarding direct investment products and real estate securities effect in the customer’s account. FINRA Arbitration No. 17-01685 (July 6, 2017).

Guiliano Law Group

Our practice is limited to the representation of investors. We accept representation on a contingent fee basis, meaning there is no cost to you unless we make a recovery for you. There is never any charge for a consultation or an evaluation of your claim. For more information, contact us at (877) SEC-ATTY.

For more information concerning common claims against stockbrokers and investment professionals, please visit us at stockbrokerfraud.com

To learn more about FINRA Securities Arbitration, and the legal process, please visit us at securitiesarbitrations.com

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