June 24, 2015
Bruce R. Geiger entered into an Order Accepting Offer of Settlement with the Financial Industry Regulatory Authority (FINRA) to resolve allegations by FINRA that he had violated various FINRA rules altering annuity forms by adding dates to the forms after the client had signed, re-using original customer signature pages from forms previously executed and altering the dates of customer signatures.
According to the FINRA Order, between October 2005 and October 2010, while registered with Thrivent Investment Management, Geiger falsified 115 forms relating to the accounts of 14 customers to cause disbursements totaling over $562,000.
Geiger was fined $5,000 and suspended for three and one half months.
Geiger is currently registered with Woodbury Financial Services. He was previously registered with Thrivent Investment Management from 6/1987-12/2010.
Rex Securities Law , located in Boca Raton, FL, (and soon to be opening a second office in Bee Cave, just outside of Austin, TX) provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
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