Gary Alan Kieper of Antigo, Wisconsin, a stockbroker previously registered with Thrivent Investment Management Inc., has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Kieper failed to appear for testimony in an investigation. Letter of Acceptance, Waiver, and Consent No. 2024081689201 (May 21, 2024).
FINRA’s action stems from an incident that began when Thrivent Investment Management Inc. filed a Uniform Termination Notice for Securities Registration (Form U5) on December 31, 2022, terminating Kieper’s registration. The initial filing stated that Kieper had voluntarily ended his association with Thrivent. However, on April 19, 2024, Thrivent amended this Form U5, revealing that Kieper had been charged with felony theft during his time with the securities broker dealer.
Following this disclosure, on April 2, 2024, FINRA requested Kieper to provide testimony under FINRA Rule 8210. Kieper did not respond to this request. A second request was made by FINRA on April 18, 2024, which also went unanswered. During a phone call on May 6, 2024, Kieper’s counsel confirmed that Kieper had received the requests but would not comply. By failing to appear for testimony as required, Kieper violated FINRA Rules 2010 and 8210.
Kieper was associated with Thrivent Investment Management Inc. in Antigo, Wisconsin, from March 30, 2000, to December 31, 2022.
