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Bradley Tennison Discharged and Barred By FINRA After Selling Away Allegations

South-Florida-Broker-Brian-Michael-Berger-Permanently-Barred-by-FINRA-1024x683-300x200Bradley Joseph Tennison (CRD #1561988) is a former registered broker and investment advisor who has recently been barred by FINRA. He was last registered with Genos Wealth Management of Mesa, AZ. He was previously employed with Oberlin Financial Corp. (CRD #103717) of Bryan, OH, First Allied Securities, Inc. (CRD #32444) of San Diego, CA, and D.E. Frey & Company, Inc. (CRD #23595) of Denver, CO. No current employment information is available. He has been in the industry since 1989.

Tennison has six disclosures, three of which are related to a client dispute that is currently pending. On 4/24/2018, a former firm client contacted Genos Wealth with a written complaint requesting assistance with a $300,000 investment Tennison recommended, called “The Joseph Project.” The letter alleges no statements were ever issued, and she was unsuccessful in getting her capital back or any of the promised returns. The client was told by Tennison that it was a 12 month “investment” with a 5% enhancement. She wired the $300K from her bank directly to where Tennison instructed her.

Upon examination, it was discovered that this “investment opportunity” was not something recommended or offered by the firm, and there were no records available. Tennison was “minimally responsive” to the firm’s request for information.  On 4/25/2018, Genos Wealth discharged Tennison after he admitted that the former client’s money was wired to a third party that wasn’t investment related.

Initially, Tennison cooperated with the firm and the FINRA investigation, but in June of 2018, ceased doing so.  On 07/02/2018, Tennison signed a letter of Acceptance, Waiver & Consent (AWC) and was indefinitely barred by FINRA in all capacities, effective immediately.

Tennison was previously discharged by Oberlin Financial Group, on 8/10/2005. In this instance, he allegedly submitted transaction documents directly to a product sponsor company without supervisory approval.

Two previous customer complaints were settled with payouts. In a dispute filed on 03/04/2010, a client filed a complaint indicating that a limited partnership recommendation was “unsuitable.” The client requested damages of $28,013.52, and received a settlement of $10,000. Tennison denies these allegations.

Tennison’s first customer dispute was filed on 01/13/2003, with allegations of unsuitability and breach of fiduciary duty, requesting damages of $40,000. The case was settled for $79,380.00, with no additional information available.

Silver Law Group represents investors in securities and investment fraud cases. Our lawyers are admitted to practice in New York and Florida and represent investors nationwide to help recover investment losses due to stockbroker misconduct. If you have any questions about how your account has been handled, call to speak with an experienced securities attorney. Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

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