Jerry Simpson, formerly with Thrivent Investment Management, Barred from the Securities Industry
Have you lost money with financial advisor Jerry Simpson of Madisonville, Kentucky? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Jerry Wayne Simpson. FINRA barred Simpson from the securities industry after he failed to respond to a FINRA investigation. FINRA was investigating Simpson for allegations that he may have misappropriated money from three customers, and that he failed to inform his brokerage firm, Thrivent Investment Management, that he had been charged with a felony alleging wanton abuse/neglect of an adult.
Jerry Simpson was a financial advisor and registered representative of Thrivent Investment Management from August 2015 to December 2017. He worked at a branch office in Madisonville, Kentucky.
Brokerage firms like Thrivent Investment Management have a responsibility to adequately supervise all representatives who are registered through their firm. Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies. When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.
Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado; Ann Arbor, Michigan; and Seattle, Washington. We represent investors in FINRA arbitration proceedings in all 50 states, including investors throughout Kentucky. Our attorneys have represented over one thousand investors against many brokerage firms in the past.
Click to view: Simpson, Jerry FINRA AWC
Click to view: Simpson, Jerry BrokerCheck 2.20.18
If you lost money with Jerry Simpson or Thrivent Investment Management, please CONTACT US at 720-599-3505 for a free evaluation of your case.
Israels & Neuman, PLC is a private law firm and is not affiliated with any government or law enforcement agency. Any investigation referenced in this blog is independent in nature and is being conducted by our law firm privately, not in conjunction with any government or law enforcement agency. All information contained in this blog should be deemed statements of opinion derived from the author’s review of public records, not statements of fact. This blog is advertising material and does not create an attorney client relationship, nor does it constitute legal advice. Everyone’s situation is different and the question of whether or not you have a claim will vary on a case-by-case basis. In contingent representation, clients may still be liable for costs.