BRUCE R GEIGER
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/30/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Bruce R. Geiger (CRD No. 1591606), Respondent. DISCIPLINARY PROCEEDING No. 2011026440401 COMPLAINT The Department of Enforcement alleges: I. SUMMARY 1. From October 2005 through October 2010, while associated with Thrivent Investment Management Inc. ("Thrivent" or the "Firm"), Respondent Bruce R. Geiger falsified 115 documents relating to the accounts of 14 customers. Geiger regularly added dates to
06/24/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Bruce R. Geiger (CRD No. 1591606), Respondent. DISCIPLINARY PROCEEDING No. 2011026440401 Hearing Officer - KBW ORDER ACCEPTING OFFER OF SETTLEMENT Date: June 24, 2015 INTRODUCTION Disciplinary Proceeding No. 2011026440401 was filed on December 30, 2014, by the Department of Enforcement of the Financial Industry Regulatory Authority ("FINRA") ("Complainant"). Respondent Bruce R. Geiger submitted an
Reference 2011026440401data-portal.finra.orgfinra.orgdata-portal.finra.org
Other names1
Also known as1
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