GARY ALAN KIEPER Barred by FINRA

On May 21, 2024, GARY ALAN KIEPER, was barred by the Financial Industry Regulatory Authority (FINRA).  KIEPER is a former broker with Thrivent Investment Management of Antigo, Wisconsin alleged to have embezzled hundreds of thousands of dollars from a Wisconsin town and fire department.

According to an article from Financial Advisor IQ, earlier this month, a Marathon County Judge entered a not-guilty plea for GARY ALAN KIEPER after the he "stood mute" during his arraignment, declining to make a plea, according to Fox 11 News reports. KIEPER is accused of misappropriating more than $300,000 from the town of Ackley, Wisconsin, where he had served as the town treasurer and Rural Fire Control. He faces nine counts, including five of misconduct in office and two of theft in a business setting of more than $100,000, as well as two of theft in a business setting of more than $10,000.

According to FINRA’s BrokerCheck, available to the public on FINRA’s website, GARY ALAN KIEPER, had been registered in the securities industry for 22 years and was listed with only on firm as a broker, Thrivent Investment Management in Antigo, Wisconsin, since 2000. He has not been registered since December of 2022.  KIEPER has 3 Disclosures on his FINRA CRD report.  There is a “Regulatory” barring him from the industry, a pending “Criminal” disclosure filed in March of 2024, and a “Civil Bond” disclosure filed in 2011.

FINRA barred GARY ALAN KIEPER this month following these allegations, “Without admitting or denying the findings, Kieper consented to the sanction and to the entry of findings that he refused to provide on-the-record testimony requested by FINRA.” This bar is permanent.

According to the Financial Advisor IQ article, there has been an update filed by Thrivent to KEIPER’s Form U5 termination notice disclosing that he "had been charged with felony theft and misconduct in connection with events that occurred while Kieper was associated with Thrivent," according to a letter of acceptance, waiver and consent published by FINRA.

If you’ve experienced financial losses due to the actions or recommendations- of, GARY ALAN KIEPER formerly with Thrivent Investment Management of Antigo, Wisconsin, contact Soreide Law Group and speak at no cost to an experienced securities lawyer regarding the possible recovery of your investment losses through a FINRA arbitration at: 888-760-6552.

Soreide Law Group represents our clients nationwide on a contingency fee basis.