FINRA expelled securities broker Gary Alan Kieper [CRD: 4147968, Antigo, Wisconsin], according to Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Gary Kieper worked for Thrivent Investment Management from March 30, 2000, to December 31, 2022. Read below for additional information about Gary Kieper’s disclosures.
Particularly, on May 21, 2024, FINRA issued Case: 2024081689201. Evidently, FINRA found that Kieper refused to provide testimony requested by FINRA.
On December 21, 2022, Thrivent filed a termination notice ending Kieper’s registration, stating he had voluntarily left the firm. Later, on April 19, 2024, Thrivent amended the termination notice to disclose that Kieper had been charged with felony theft.
On April 2, 2024, FINRA requested Kieper to provide on-the-record testimony, which he failed to do. A second request on April 18, 2024, was also ignored by Kieper.
Kieper’s refusal to comply with FINRA’s requests violated FINRA rules. Rule 8210 allows FINRA to require a securities broker’s testimony or documents in investigations.
Kieper’s actions resulted in a permanent bar from associating with any FINRA member, effective from May 21, 2024.
Have you experienced losses because of Gary Kieper? If so, get in touch with Soreide Law Group online or at (888) 760-6552 and talk with a securities lawyer about your legal options. Soreide Law Group has recovered losses for many clients in the US, works on a contingency fee basis, and advances all costs. Kieper and the brokerage firms Kieper worked for deny any allegations of sales practice violations.
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