Category Archives: Thrivent Investment Management

Jean Walsh-Josephson -Former Thrivent Investment Management Broker & Husband Die In Murder-Suicide

February 2017-Oshkosh, Wisconsin

According to US News, the sheriff of Winnebago County reports that former Thrivent Investment Management stock broker Jean A. Walsh-Josephson and her husband, Dewey Josephson,  were found shot to death in a murder-suicide. The couple was in the middle of a two week trial for allegedly stealing money from elderly clients.

The couple was found in their home in Town of Utica after they failed to show up for trial Monday morning, February  27, 2017.

Public records disclose that Walsh-Josephson worked for Thrivent Investment Management from 7/1996-9/2015 when she was discharged following being criminally charged for forgery and theft. She was permanently barred from the securities industry by FINRA in 1/2016.

Rex Securities Law , with offices in Boca Raton, FL,  and  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.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870

Miguel A. Hernandez-Former Thrivent StockBroker-Barred From Securities Industry

El Paso, Texas

According to FINRA records, Miguel A. Hernandez  a broker who was formerly  registered  with Thrivent Investment Management in El Paso, Texas , has been permanently barred from acting as a broker or otherwise associating with firms that sell securities to the public.

Without admitting or denying findings, Hernandez consented to the sanction and to the entry of findings that he obtained $25,000 in cash from an elderly customer he met at church  under false pretenses and converted the funds to personal use. Mr. Hernandez promised the elderly woman a stake in his purported tax business. After the misconduct was discovered, he repaid the elderly lady.

The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.

Hernandez was registered with Thrivent Investment Management from 11/2003 until 5/2015 when he was discharged after the company discovered the misconduct.

If you have questions about  a brokerage account handled by Miguel A. Hernandez  , call to discuss your legal options.

Rex Securities Law , with offices in Boca Raton, FL,  and  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.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870

Former Thrivent Investment Management Broker Sanctioned for Falsifying Annuity Documents

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 , with offices in Boca Raton, FL,  and  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.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870