BRAD EUGENE PARISH is currently employed as a Broker and/or Investment Adviser at GENEOS WEALTH MANAGEMENT, INC. located at 9917 E BELL ROAD, SUITE #110, SCOTTSDALE, AZ, 85260.
BRAD EUGENE PARISH has worked at GENEOS WEALTH MANAGEMENT, INC. since January 04, 2005
Disclosure History
BRAD EUGENE PARISH has 2 Disclosure Event(s).
Date: April 28, 2009 Category: Regulatory
Date: July 12, 2006 Category: Customer Dispute Allegations: MULTIPLE PLAINTIFFS HAVE BROUGHT A CIVIL ACTION IN SUPERIOR COURT, MOHAVE COUNTY. PLAINTIFFS ALLEGE THAT DEFENDENT [OTHER FIRM EMPLOYEE] REC'D MONEY AND ASSETS FOR THE PURPOSE OF MAKING INVESTMENTS AND INSTEAD ALLEGEDLY CONVERTED THE MONEY AND ASSETS FOR PERSONAL USE. [OTHER FIRM EMPLOYEE] CONDUCTED BUSINESS UNDER THE NAME OF SCHOONER FINANCIAL ASSOC., THE DBA NAME BELONGING TO PRINCIPALS BRAD PARISH AND [THIRD PARTY]. IT IS ALLEGED THAT BRAD PARISH AS A PRINCIPAL OF SCHOONER FINANCIAL ASSOC HAD A RESPONSIBILITY TO SUPERVISE THE ACTIVITIES OF [OTHER FIRM EMPLOYEE] AND THEREFORE IS ALLEGED TO BE LIABLE FOR THE ACTIVITIES OF [OTHER FIRM EMPLOYEE] Damage Amount Requested: $3,000,000.00 Settlement Amount: $125,000.00 Broker Comment: I VEHEMENTLY DENY THE ALLEGATIONS SET FORTH IN THE LAWSUIT. I WAS UNAWARE OF THE ACTIVITIES CONDUCTED BY [OTHER FIRM EMPLOYEE] AND HAVE COMPLIED WITH ALL FEDERAL & STATE LAWS, NASD & SEC AND OTHER ADMINISTRATIVE RULES AND ALL PROFESSIONALLY APPLICABLE STANDARDS OF CONDUCT. [OTHER FIRM EMPLOYEE] WAS AUTHORIZED TO USE THE NAME OF SCHOONER FINANCIAL FOR THE PURPOSE OF CONDUCTING LEGITIMATE SECURITIES AND INVESTMENT ACTIVITIES ONLY. I WAS UNAWARE OF THAT ANY OTHER ACTIVITIES WERE BEING CONDUCTED UNDER THE NAME SCHOONER FINANCIAL. AS [OTHER FIRM EMPLOYEE'S] DESIGNATED OSJ MANAGER I CONDUCTED ALL THE SUPERVISION OF [OTHER FIRM EMPLOYEE] AS CONDUCTED BY MY BROKER/DEALER AND AT NO TIME DID IT LEAD ME TO BELIEVE ANY ILLEGAL ACTIVITY WAS BEING CONDUCTED.
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