Jean Ann Walsh-Josephson, of Oshkosh, Wisconsin, a stockbroker formerly registered with Thrivent Investment Management Inc., has been permanently barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that she failed to provide a response to FINRA’s information request. Letter No. 2015046529801 (Jan. 26, 2016).
FINRA Public Disclosure reveals that on August 21, 2015, Thrivent Investment Management Inc. terminated Josephson based upon allegations that Josephson was involved in an outside business activity which was not disclosed to the firm, and which involved a firm customer’s investment of funds. Additionally, the firm alleged that Walsh-Josephson was terminated due to facing criminal charges for theft and forgery.
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