Eugene Anderson, formerly of Thrivent Investment Management, Subject of Arizona Securities Complaint
Have you lost money with financial advisor Eugene Anderson of Apache Junction, Arizona? We are continuing our investigation into allegations made against Eugene D. Anderson. The Arizona Corporation Commission alleged that Anderson allegedly borrowed $15,000 from a customer of his former brokerage firm, Thrivent Investment Management, with no intention or means of paying the money back.
Eugene Anderson was previously subject to a complaint by FINRA, the Financial Industry Regulatory Authority. FINRA barred Anderson regarding the same allegations.
Eugene Anderson was a financial advisor and registered representative of Thrivent Investment Management from 2002 to June 2007. He also worked with LPL Financial from June 2007 to April 2008; with United Planners Financial Services of America from March 2008 to May 2010 and again from March 2011 to September 2016; and with J.P. Turner from May 2010 to April 2011. He worked at branch offices in Apache Junction and Chandler, Arizona. Anderson has one customer complaint on his record.
Brokerage firms like Thrivent Investment Management have a responsibility to adequately supervise all representatives who are registered through their firm. Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies. When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.
Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado and the Seattle area. We represent investors in FINRA arbitration proceedings in all 50 states, including investors throughout Arizona and the Phoenix area. Our attorneys have represented over one thousand investors against many brokerage firms in the past.
Click to view: Anderson, Eugene FINRA AWC (1)
Click to view: Anderson, Eugene BrokerCheck 2.12.17
Click to view: Anderson, Eugene Arizona Complaint
If you lost money with Eugene Anderson or Thrivent Investment Management, please CONTACT US at 720-599-3505 for a free evaluation of your case.
Israels & Neuman, PLC is a private law firm and is not affiliated with any government or law enforcement agency. Any investigation referenced in this blog is independent in nature and is being conducted by our law firm privately, not in conjunction with any government or law enforcement agency. All information contained in this blog should be deemed statements of opinion derived from the author’s review of public records, not statements of fact. This blog is advertising material and does not create an attorney client relationship, nor does it constitute legal advice. Everyone’s situation is different and the question of whether or not you have a claim will vary on a case-by-case basis. In contingent representation, clients may still be liable for costs.