Wisconsin - Israels & Neuman, PLC

GARY KIEPER of Thrivent Investment is BARRED

Israels & Neuman, PLC — Wed, 22 May 2024 21:22:06 GMT

Gary Kieper, Formerly with Thrivent Investment Management, Barred from Securities Industry

ANTIGO, WISCONSIN Are you a former client of Gary Kieper in Antigo, Wisconsin? Israels & Neuman is reviewing claims made against Mr. Kieper, who previously worked with Thrivent Investment Management.

In May 2024, Mr. Kieper was barred by FINRA after he refused to respond to an investigation. He had been licensed with Thrivent Investment Management when he was charged with several felonies, including theft, in Langlade County, Wisconsin. This triggered an investigation by FINRA. Financial advisors are required to comply with FINRA requests for information per FINRA Rule 8210.

Gary Kieper was alleged to have stolen over $300,000 from Rural Fire Control and the town of Ackley. He was registered with Thrivent Investment Management from 2000 to December 2022 and worked in an Antigo, Wisconsin office.

Israels & Neuman has represented over 1,000 investors in the past, including numerous investors in Wisconsin.

View FINRA AWC HERE View BrokerCheck Report HERE

If you lost money with Gary Kieper, or Thrivent Investment Management, contact the law firm of ISRAELS & NEUMAN at (720) 599-3505 or (206) 795-5798 for a Free evaluation of your case.

STEVEN SCHROEDER of Principal Securities is FIRED

Israels & Neuman, PLC — Fri, 29 Dec 2023 20:03:33 GMT

Steven Schroeder Fired by Principal Securities

HUDSON, WISCONSIN Are you a former customer of Steven Schroeder, formerly with Principal Securities, in Hudson, Wisconsin? FINRA recently reported that Steven Schroeder was fired by Principal Securities in October 2023. He had been licensed with the brokerage firm between 1993 and October 2023.

Steven W. Schroeder’s BrokerCheck report reveals that “the firm became aware that the RR [Schroeder] participated in and facilitated private securities transactions with clients, without preclearing the transactions to the firm beforehand”. Essentially, Principal Securities alleged that Schroeder sold investments that were not authorized by the firm.

Licensed financial advisors have a duty to follow FINRA rules while working with brokerage firms. This includes FINRA Rule 3280, which requires advisors to provide prior written notice to their firms of any transaction in which the advisor could receive compensation. Moreover, FINRA Rule 3011 provides that firms must sufficiently supervise their advisors.

Israels & Neuman PLC is an investment fraud law firm that represents investors all over the country, including investors in Wisconsin.

View BrokerCheck report HERE

If you lost money with Steven Schroeder or Principal Securities, please Contact Us at 206-795-5798 for a free evaluation of your case.

ROBERT STARNES of SA Stone Wealth Management is FIRED

Israels & Neuman, PLC — Wed, 28 Jun 2023 16:35:17 GMT

Robert Starnes Fired with SA Stone Wealth Management

WAUWATOSA, WISCONSIN

Are you a former client of financial advisor Robert Starnes formerly with SA Stone Wealth Management in Wauwatosa, Wisconsin? Starnes registration with SA Stone Wealth Management was terminated in May 2023. He was fired after an executor of an estate complained that he accepted funds from a customer and deposited the money into his personal account.

According to FINRA’s BrokerCheck Report, Robert Starnes was licensed with SA Stone Wealth Management from December 2019 to May 2023. He was previously registered with Quest Capital. He had an office in Wauwatosa, Wisconsin and also operated the Offices of Robert C. Starnes.

SA Stone Wealth Management has an obligation to abide by securities rules and regulations. This includes duties to adequately monitor conduct of its financial advisors. Failures to sufficiently supervise representatives can potentially lead to liability for brokerage firms.

View Starnes, r BrokerCheck 6.28.23