July 9, 2018 Comments (0) Blog, Current Investigations

AZ Advisor Bradley Tennison Barred from Securities Industry

Bradley Tennison

Bradley Tennison – Geneos Wealth Management – Mesa, Arizona

According to the Financial Industry Regulatory Authority (FINRA), the regulator has barred financial advisor Bradley Tennison from the securities industry.

According to a Letter of Acceptance Waiver & Consent posted on FINRA’s website on July 2, FINRA was investigating allegations that Tennison recommended a $300,000 investment away from the Firm to a former Firm customer.

In connection with its investigation, in May 2018, FINRA requested that Tennison provide certain documents and information to FINRA. Although Tennison provided partial responses to these document and information requests, he thereafter reportedly refused to cooperate further. Tennison reportedly acknowledges that he received FINRA’s request and will not appear for the on-the-record testimony at any time.

According to his FINRA BrokerCheck report, Tennison was registered with Geneos Wealth Management in Mesa, Arizona from August 2015 until he was discharged in April 2018 for “a written complaint from a former client of Mr. Tennison’s expressing concerns about an investment she claims was recommended by Mr. Tennison in 2016.”

Tennison has 3 customer complaints listed on his broker report. Allegations include unsuitable investments and selling away.

For FINRA’s full findings see FINRA case no. 2018058302101.

Investigating Potential Claims

The White Law Group is investigating the liability that Bradley Tennison’s employers may have for failing to properly supervising him.

Brokerage firms are required to properly supervise their advisors. They must ensure that those advisors are complying with applicable FINRA rules and regulations. If it can be demonstrated that Bradley Tennison’s former employers failed to properly supervise him, the firm may be held responsible for investment losses in a FINRA arbitration claim.

If you are concerned about your investments with Bradley Tennison and would like a free consultation to discuss your litigation options, please call The White Law Group at 1-888-637-5510.

The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Vero Beach, Florida. For more information please visit us on the web at www.whitesecuritieslaw.com.