Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on September 8, 2017 indicate that Minnesota-based Geneos Wealth Management broker/adviser Joseph Sterling has received several resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Sterling (CRD# 1101378).
Joseph Sterling has spent 34 years in the securities industry and has been registered with Geneos Wealth Management in Apple Valley, Minnesota since 2005. Previous registrations include SunAmerica Securities in Phoenix, Arizona (1992-2005); Anchor National Financial Services (1985-1992); IDS Financial Services (1983-1985); and IDS Marketing Corporation (1983-1985). He has passed seven securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination); Series 63 (Uniform Securities Agent State Law Examination); Series 31 (Futures Managed Funds Examination); Series 7 (General Securities Representative Examination); Series 22 (Direct Participation Programs Representative Examination); Series 6 (Investment Company Products/Variable Contracts Representative Examination); and Series 8 (General Securities Sales Supervisor Examination [Options Module & General Module]). He is a registered broker and investment adviser with nine US states: Arizona, California, Colorado, Florida, Idaho, Iowa, Maryland, Minnesota and New York.
According to his BrokerCheck report report, he has received one customer complaint and two pending customer complaints.
In July 2017 a customer alleged Joseph Sterling, while employed at Geneos Wealth Management, made unsuitable recommendations involving real estate securities. The customer is seeking $290,000 in damages in the pending complaint.
In July 2017 a customer alleged Joseph Sterling, while employed at Geneos Wealth Management, recommended unsuitable real estate investments. The customer is seeking between $500,000 and $900,000 in damages in the pending complaint.
In 2006 a customer alleged Joseph Sterling, while employed at SunAmerica Securities, made unsuitable changes to the account, “thereby exposing her to unwarranted risk and subsequent market losses.” The complaint settled for $8,500.
If you or someone you know has a complaint regarding Joseph Sterling, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup lost funds. Fitapelli Kurta accepts every case on contingency: we only get paid if and when you collect money. Time to file your claim may be limited, so we recommend you avoid delay. Call 877-238-4175 now to speak to an attorney for free.