Robert Geiler Subject of FINRA Suspension and Fine
Robert Geiler (CRD #: 1107194), a broker formerly registered with Lincoln Investment, consented to a three-month FINRA suspension together with a $5,000 fine, according to his BrokerCheck Record, accessed on November 28, 2021.
FINRA Letter of Acceptance, Waiver, and Consent Agreement
According to an Acceptance, Waiver, and Consent agreement dated October 18, 2021, Robert Geiler consented to the findings that in December 2019, he allegedly accessed and printed documents containing nonpublic personal information of 72 of his customers at Lincoln Investment. The findings further allege that he removed the documents from Lincoln Investment and retained the customers' nonpublic personal information, without authorization, after resigning from Lincoln Investment on December 31, 2019. He also allegedly provided the customers’ nonpublic information to a representative of another firm and was paid $5,000 by the other representative.
As a result, Geller allegedly violated FINRA Rule 2010 by causing Lincoln Investment to violate SEC Regulation S-P.
FINRA Rule 2010 requires all registered members to observe high standards of commercial honor and just principles in their business dealings.
You can read a copy of the AWC here.
As part of the terms of the AWC, Robert Geiler consented to a three-month suspension and a $5,000 fine.
Between 2003 and 2011, Robert Geiler became the subject of three tax liens amounting to $49,602.
On October 4, 2005, Robert Geiler became the subject of a civil lien for $4,075.
Robert Geiler has passed the following exams:
- Series 63 - Uniform Securities Agent State Law Examination
- SIE - Securities Industry Essentials Examination
- Series 6 - Investment Company Products/Variable Contracts Representative Examination
- Series 2 - Non-Member General Securities Examination
- Series 26 - Investment Company Products/Variable Contracts Principal Examination
Robert Geiler has worked with the following firms:
- Capital Analysts, Incorporated (CRD#:5478)
- Washington Square Securities (CRD#:2882)
- Mutual Of Omaha Investor Services (CRD#:611)
- Princor Financial Services Corporation (CRD#:1137)
- MML Investors Services (CRD#:10409)
- Connecticut Mutual Financial Services (CRD#:173)
Kurta Law Can Help
If you have been victimized by Robert Geiler as a broker, don't hesitate to get in touch with us today at 877-600-0098 or firstname.lastname@example.org for a free consultation.
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