Stoltmann Law Offices is investigating Bruce R. Geiger, currently registered with Woodbury Financial Services in Visalia, California since 2010. Before Woodbury, Geiger was associated with Thrivent Investment Management Inc. from June 1987 until December 2010. While at Thrivent Management, Geiger is accused of using an Annuity/Settlement Option Withdrawal Service Request form to facilitate customer requests for surrenders, partial withdrawals, full withdrawals and transfers of funds in connection with various annuity contracts or life insurance settlement options, and forging a client signature on those documents. He is also accused of adding dates to customer signature pages from forms that previously existed, and forging dates. This is strictly prohibited by his firm, even with customer acknowledgement and permission. Geiger is accused of allegedly falsifying 115 documents. For this, he was fined $5,000 and suspended for three and a half months by the Financial Industry Regulatory Authority (FINRA).
For these actions, Bruce R. Geiger’s former firm, Thrivent Investment Management, can be sued. Please contact our securities law office at 312-332-4200 to speak to an attorney. We can help you go over your options for suing Thrivent Investment Management in the FINRA arbitration forum for failing to reasonably supervise him while he was employed there.