Goodman & Nekvasil P.A., May Recover Investor Losses – Christopher Stephen Scott (Christopher Scott), Suspended from Securities Industry and Fired by Geneos Wealth Management, Inc.
From 2008 until Christopher Scott’s firing in 2015, Christopher Scott was licensed with Geneos Wealth Management, Inc. Christopher Scott was subsequently licensed with Girard Securities, Inc. and is now licensed with Cetera Advisor Networks LLC. According to FINRA’s records, Christopher Scott was fired by Geneos Wealth Management, Inc. on January 5, 2015. Geneos Wealth Management, Inc. reported to FINRA that Christopher Scott violated Geneos Wealth Management, Inc.’s written procedures with respect to reporting customer complaints. According to Geneos Wealth Management, Inc., the complaint was reported to the broker dealer two weeks after it was received by Christopher Scott. According to Geneos Wealth Management, Inc., the firm’s policies require “immediate reporting.”
Subsequent to Christopher Scott’s firing by Geneos Wealth Management, Inc., FINRA investigated Christopher Scott and brought a disciplinary action against Christopher Scott. Christopher Scott was fined $5,000 and suspended for 15 days from the securities and investment banking industry on November 9, 2015. FINRA reports that Christopher Scott consented to the sanctions and to the entry of findings that contrary to Christopher Scott’s member firm’s written supervisory procedures, Christopher Scott borrowed money from a customer of Christopher Scott’s firm without prior written permission from or notice to Christopher Scott’s firm. The findings stated that Christopher Scott completed an annual compliance questionnaire, which asked Christopher Scott if Christopher Scott had “ever loaned money to [a] customer, borrowed money from a customer, coinvested with a customer, at any time?” Christopher Scott responded “no” to this question, which was inaccurate.
If you lost any money on investments with Christopher Scott, you may be able to recover your losses from Geneos Wealth Management, Inc., Girard Securities, Inc. and/or Cetera Advisor Networks LLC. This is because Geneos Wealth Management, Inc., Girard Securities, Inc. and Cetera Advisor Networks LLC had a duty to supervise Christopher Scott.
If you lost money on investments with Christopher Scott and believe that the investments may have been unsuitable or otherwise improper for you, we would like to discuss the possibility of your retaining our firm to represent you in an arbitration action against Geneos Wealth Management, Inc., Girard Securities, Inc. and/or Cetera Advisor Networks LLC concerning Christopher Scott’s conduct. There is no charge for an evaluation of your case. Further, we handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee. Unless you recover any money, you pay us nothing, not even the costs and expenses which the firm will advance on your behalf.
Kalju Nekvasil, Esq., formerly regional counsel with the NASD, now known as FINRA, has practiced in this area of the law for more than 35 years. Goodman & Nekvasil, P.A. has recovered more than $300 million on behalf of victimized investors. If you lost money on investments with Christopher Scott and would like your case evaluated by a securities attorney (again, there is no charge for an evaluation and all cases are handled on a purely contingency fee basis), please contact us.
Keywords: FINRA, Christopher Stephen Scott, Christopher Scott, Geneos Wealth Management, Girard Securities, Cetera Advisor Networks, FINRA, SEC, Fraud, Attorney, Broker, Brokerage, Firm, Brokerage Firm, Invest, Lawyer, Securities Lawyer, Goodman and Nekvasil, Nekvasil, Goodman, Investor, Investment, Financial, Financial Services, Securities