SEC
Whistleblower
Attorneys

April 06, 2018

Geneos Wealth Management Inc.

Trading and Pricing

SANCTION AMOUNT: $1808121

Defendants: Geneos Wealth Management Inc.

Respondent Geneos Wealth Management Inc. agreed to settle charges that it: (1) failed to disclose conflicts of interest and violated its duty to seek best execution by investing advisory clients in higher-cost mutual fund shares when lower-cost shares of the same funds were available; and (2) failed to identify its revised mutual fund selection disclosures in a brochure as a “material change.”

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