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Barry Hesse Involved in an Investor Dispute

Barry Hesse (CRD #: 2652246), a broker registered with Thrivent Investment Management, is the subject of an investor dispute. This is according to his BrokerCheck record, accessed on August 21, 2023. 

On June 16, 2023, an investor alleged that Barry Hesse failed to execute sell orders in January 2022, resulting in unrealized market losses. The investor is seeking $116,339.85. 

FINRA Rule 5310

FINRA Rule 5310 requires brokers to promptly execute clients’ transactions according to their instructions. This rule also establishes that brokers must use reasonable due diligence to determine the best market for their client’s orders. 

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. 

Background Information 

Barry Hesse has passed the following exams: 

  • Series 66 Uniform Combined State Law Examination 
  • Series 63 Uniform Securities Agent State Law Examination 
  • SIE – Securities Industry Essentials Examination 
  • Series 7 General Securities Representative Examination 
  • Series 6 Investment Company Products/ Variable Contracts Representative Examination 

He is a registered broker in 25 states and is a registered investment adviser in Arkansas, Oklahoma, and Texas. 

Barry Hesse has only ever registered with Thrivent Investment Management (CRD #: 18387). 

Kurta Law Can Help

If you worked with Barry Hesse and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.

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