Broker Investigation: Bradley Tennison

Bradley Tennison (CRD#: 1561988) is a former broker and investment advisor. From 2005 to 2018, Mr. Tennison was employed at Geneos Wealth Management in Mesa, Arizona. This broker has also been associated with Oberlin Financial Group, First Allied Securities, and D.E. Frey & Company.

On July 2nd, 2018, FINRA barred Bradley Tennison from the securities industry. These regulatory sanctions were brought after Mr. Tennison declined to cooperate with a FINRA investigation into allegations that he was ‘selling away’ from his member firm.

Selling Away: Bradley Tennison

On April 25th, 2018, Bradley Tennison was terminated from his position at Geneos Wealth Management. The firm discharged this broker after it received a complaint from a former customer of Mr. Tennison. According to that investor, Mr. Tennison facilitated an investment in 2016. The firm quickly discovered that his investment recommendation was made outside of the bounds of his role at the firm and that he never sought or received the proper approval to engage in outside securities transactions.

Soon after, FINRA launched its own inquiry into the allegations of ‘selling away’ that were brought against Mr. Tennison. When investigators requested documents, information, and testimony from Mr. Tennison, he refused to cooperate. This is a serious violation of FINRA rules. As a result, Bradley Tennison has been indefinitely barred from the industry.

Contact Our Securities Fraud Team For Legal Help

At Sonn Law Group, our investment fraud lawyers have considerable experience handling cases involving brokers selling away from their member firm. If you lost money in an undisclosed private securities transaction, please do not hesitate to contact our legal team for a free consultation.

Disclaimer: This article contains opinions and NOT statements of fact in any way whatsoever. The information here is general information that should not be taken as legal advice. NO attorney-client relationship is established between you and our attorneys by reading this article. This article is attorney advertising and should not be used as a substitute for legal advice from a qualified securities lawyer.

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