Bruce R. Geiger—Falsified Forms Relating to Customer Accounts
Bruce R. Geiger Allegedly Falsified 115 Forms Relating to the Accounts of 14 Customers Totaling Approximately $562,000
Bruce R. Geiger, from 2005 to 2010, allegedly falsified 115 forms relating to the accounts of 14 customers at Thrivent Investment Management, Inc. to cause disbursements totaling approximately $562,008.65, according to a recent Complaint from FINRA’s Department of Enforcement.
The Complaint goes on to allege that Geiger allegedly altered forms by adding dates to customers’ signatures after the customers had signed the forms, re-used original customers’ signature pages from forms that had been previously executed, and altered the dates of the customers’ signatures, the Complaint further alleges.
Bruce R. Geiger Sanctioned for Three and a Half Months and Fined $5,000
Bruce R. Geiger allegedly altered forms which had previously been executed by his customers, that he added signature dates in pencil in order to expedite his practice of erasing prior dates and re-dating the customers’ original signatures from previously executed forms for re-use on subsequent transactions, according to the SEC Complaint.
As a result, Geiger violated NASD and FINA Rules, and hence, has been sanctioned with a 3 and a half month suspension and a $5000 fine from FINRA.
Geiger was registered with FINRA through Thrivent as an Investment Company Products/Variable Contracts Representative from June 9, 1987 through December 9, 2010, and as a General Securities Representative from July 14, 2004 through December 9, 2010, the Complaint further notes.
The Peiffer Wolf Carr & Kane Investor Rights Lawyers Helping Investors
The Peiffer Wolf Carr & Kane investor rights lawyers often represent investors who lose money as a result of falsification of client forms. They take most cases of this type on a contingency fee basis and advance the case costs, and only get paid for their fees and costs out of money they recover for their clients.
Investors who believe they lost money as a result of alleged falsification of client forms may contact the investor rights lawyers at Peiffer Wolf Carr & Kane, Jason Kane or Joe Peiffer, for a free, no-obligation evaluation of their recovery options, at (585) 310-5140.
Broker: Bruce R. Geiger
Status: INVESTIGATED by Peiffer Rosca.
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