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Saundra Genoni Fired from Wick Capital Partners

Saundra Genoni (CRD #: 2390180), a broker formerly registered with Triad Advisors, was fired from an investment advisory firm, according to her BrokerCheck record, accessed on January 12, 2023. Keep reading if you want to know more about her alleged conduct as a broker.

Termination from Wick Capital Partners

On December 13, 2022, Saundra Genoni was fired from investment advisory firm Wick Capital Partners after allegedly failing to comply with firm policies with regard to outside business activities and external communications.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

FINRA Rule 3270

FINRA Rule 3270 requires brokers to seek approval from their firm before engaging in outside business activities.

Other business activities

Saundra Genoni’s detailed BrokerCheck report states that she lent money to engineering firm Virtual Energy LLC in 2021 through another LLC of which she is a controlling member.

Background Information

Saundra Genoni has passed the following exams:

  • Series 65 – Uniform Investment Adviser Law Examination
  • Series 63 – Uniform Securities Agent State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 7 – General Securities Representative Examination

She has also worked for the following firms:

  • Triad Advisors (CRD#:25803)
  • Wells Fargo Clearing Services (CRD#:19616)
  • Credit Suisse Securities (USA) (CRD#:816)
  • Merrill Lynch, Pierce, Fenner & Smith (CRD#:7691)

Kurta Law Can Help

If you worked with Saundra Genoni and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and 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. 

 

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