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Ian Geeves is the Subject of a $400,000 Dispute

Ian Geeves (CRD #: 5328479), a broker previously registered with Vanderbilt Securities, is the subject of an investor dispute. This disclosure appears on his BrokerCheck record, accessed on November 28, 2023. Investors who have questions about his alleged conduct should keep reading. 

On September 28, 2023, an investor alleged that Ian Geeves misappropriated her funds and represented that she had an LPL account when she did not. The investor is seeking $400,000. 

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Misappropriation or “conversion” violates this rule. 

Background Information 

Ian Geeves has passed the following exams:

  • Series 66 – Uniform Combined State Law Examination 
  • SIE – Securities Industry Essentials Examination 
  • Series 7 General Securities Representative Examination 

In his 14 years of experience, he has registered with five firms: 

  • Vanderbilt Securities (CRD #: 5953) 
  • LPL Financial (CRD #: 6413) 
  • U.S. Bancorp (CRD #: 17868) 
  • Chase Investment Services (CRD #: 25574) 
  • Bancwest Investment Services (CRD #: 29357) 

Kurta Law Can Help 

If you have worked with Ian Geeves and have concerns about your investments, don’t hesitate to contact us today at 877-600-0098 or for a free consultation. 

For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. Do not let securities fraud go unchecked. Start your recovery process today.