FINRA barred securities broker Ian A. Geeves [CRD: 5328479, Carlsbad, California], and an investor complained about him, according to disclosures on FINRA BrokerCheck. Evidently, Ian Geeves worked for Vanderbilt Securities LLC from February 15, 2022, to November 16, 2023, and for LPL Financial LLC from November 15, 2017, to January 14, 2022. Continue reading to find out more about the disclosures involving Ian Geeves.
U.S. Bancorp Investments Inc. Investor Accused Geeves Of Breach Of Fiduciary Duty
Specifically, a U.S. Bancorp Investments Inc. client filed FINRA Arbitration No. 25-01377 about Ian Geeves. Mainly, the client alleged that Geeves breached a contract and breached his fiduciary duty while handling life insurance proceeds. For this reason, the client allegedly sustained damages linked to fixed annuities, variable annuities, and life insurance products. Consequently, on July 15, 2025, this matter became a pending FINRA arbitration with alleged damages of $400,000.
Particularly, on May 29, 2024, FINRA issued Case: 2023080323001 sanctioning Ian Geeves for infractions. Specifically, Geeves was barred from association with any FINRA member in all capacities. Mainly, FINRA alleged that Geeves failed to respond to FINRA requests for information.
According to FINRA, on February 26, 2024, the regulator issued a Notice of Suspension to Geeves after he failed to respond to its requests for information. A subsequent suspension letter followed on March 21, 2024. Because Geeves did not request termination of the suspension within three months of the notice, he was automatically barred from association with any FINRA member firm effective May 29, 2024. The action was taken pursuant to FINRA Rule 9552(h), and the order is final. The sanction permanently bars Geeves in all capacities.
Geeves Disclosed Misappropriation Allegations By LPL Financial LLC Client
Additionally, a client of LPL Financial LLC contested Ian Geeves’s sales practices, according to a complaint dated September 28, 2023. Allegedly, Geeves misappropriated and stole funds and falsely represented that the client had an LPL account. It appears that Geeves allegedly caused the client to sustain damages. Therefore, the client sought compensation from LPL Financial LLC or Geeves in the amount of $400,000 in this matter. However, this complaint closed without a resolution.
Have You Made Investments Through Financial Advisor / Securities Broker Ian Geeves?
Are you concerned regarding investments you made with Ian Geeves? You can get in touch with Soreide Law Group at (888) 760-6552 or online and talk with a securities lawyer concerning a potential recovery of your investment losses. For years, Soreide Law Group has recovered losses for investors throughout the country. Also, the firm works on a contingency fee basis and advances all costs. Geeves and brokerage firms Geeves worked for deny accusations of sales practice violations.
