Goodman & Nekvasil P.A., May Recover Investor Losses | Jerry Wayne Simpson (Jerry Simpson), Financial Advisor Barred from Securities Industry
From 2015 until Jerry Simpson’s resignation in 2017, Jerry Simpson was licensed with Thrivent Investment Management, Inc. According to FINRA’s records, Jerry Simpson resigned from Thrivent Investment Management, Inc. on December 5, 2017. Thrivent Investment Management, Inc. reported to FINRA that the Firm received information indicating that Jerry Simpson 1) did not inform the Firm that he had been charged with a felony alleging wanton abuse/neglect of an adult by a person, and 2) may have misappropriated funds from 3 customers.
Subsequent to Jerry Simpson’s resignation from Thrivent Investment Management, FINRA investigated Jerry Simpson and brought a disciplinary action against Jerry Simpson. FINRA reports that Jerry Simpson was barred from the securities and investment banking industry by the Financial Industry Regulatory Authority (FINRA) on February 16, 2018. FINRA reports that Jerry Simpson consented to the sanction and to the entry of findings that Jerry Simpson refused to produce documents and information requested by FINRA in connection with its review of allegations reported on his Form U5 by his member firm. The findings stated that the allegations reported on Simpson’s Form U5 indicated that he did not inform the firm that he had a felony charge alleging wanton abuse/neglect of an adult by a person, and that he may have misappropriated funds from customers.
If you lost any money on investments with Jerry Simpson, you may be able to recover your losses from Thrivent Investment Management, Inc. This is because Thrivent Investment Management, Inc. had a duty to supervise Jerry Simpson.
If you lost money on investments with Jerry Simpson and believe the investments may have been unsuitable or otherwise improper for you, we would like to discuss the possibility of your retaining our firm to represent you in an arbitration action against Thrivent Investment Management, Inc. concerning Jerry Simpson’s conduct. There is no charge for an evaluation of your case. Further, we handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee. Unless you recover any money, you pay us nothing, not even the costs and expenses which the firm will advance on your behalf.
Goodman & Nekvasil, P.A. has recovered more than $180 million on behalf of victimized investors. If you lost money on investments with Jerry Simpson and would like your case evaluated by a securities attorney (again, there is no charge for an evaluation and all cases are handled on a purely contingency fee basis), please contact us.