JEFFREY JAMES FRYE

09/13/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Jeffrey James Frye CRD No. 1916522, Respondent. DISCIPLINARY PROCEEDING No. 20100248136 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. In June 2010 (the "Relevant Period"), while associated as a registered representative with Thrivent Investment Management, Inc. ("Thrivent" or the "Firm"), Jeffrey James Frye ("Respondent") falsified customer account records by changing or causing a

01/09/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. Jeffrey James Frye (CRD No. 1916522), Respondent. Disciplinary Proceeding No. 20100248136 Hearing Officer-LOM DEFAULT DECISION January 9, 2012 Respondent is barred from associating with any FINRA member in any capacity for: falsifying books and records in violation of FINRA Conduct Rule 3110 and FINRA Conduct Rule 2010; attempted conversion of customer funds in violation of FINRA Conduct Rule 2010;

Reference 2010024813601data-portal.finra.orgfinra.orgdata-portal.finra.org