Frenise Mann Suspended by FINRA

Frenise Mann (CRD #: 6972542) has been suspended by FINRA. This is according to her BrokerCheck record, accessed on February 14, 2024. Details concerning her suspension are provided below. 

FINRA Suspension 

Between June 2020 and May 2021, Frenise Mann allegedly electronically signed the names of eight customers on 12 forms without the customers’ permission. She also allegedly inaccurately recorded her own address as that of a customer on an account application form and copied and reused ink signatures of three customers.

In December 2019, Frenise Mann allegedly called Thrivent and impersonated a customer in an effort to obtain information about a customer’s account, without the permission of the customer.

High Standards of Commercial Honor 

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Signing customers’ names to documents without their permission and impersonating a customer violates this rule.

Terms of the AWC 

Frenise Mann consented to a six-month suspension and a $7,500 deferred fine. You can read a copy of the AWC here. 

Edward Jones and Thrivent Termination 

On November 16, 2021, Edward Jones fired Frenise Mann based on Thivent’s internal investigation. She was voluntarily terminated by Thrivent in October 2021. 

Background Information 

Frenise Mann has passed the following exams:

• Series 66 Uniform Combined State Law Examination
• Series 7TO General Securities Representative Examination 
• SIE – Securities Industry Essentials Examination 

She has registered with the following firms: 

• Edward Jones (CRD #: 250) 
• Thrivent Investment Management 

Kurta Law Can Help 

If you have worked with Frenise Mann and you have concerns about your investments, do not hesitate to contact us at 877-600-0098 or info@kurtalawfirm.com for a free consultation. 

For nearly 20 years, Kurta Law has advocated for investors 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. Do not let securities fraud go unchecked. Start your recovery process today.