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Commission Pulls Licenses of Scottsdale Investment Adviser Rep and His Advisory Firm

The Corporation Commission revoked the investment adviser representative license of Jeffrey Francis Thompson of Scottsdale and the investment adviser license of his company, Leyenda Capital Partners, which was doing business as JFThompson Wealth Management, LLC.

The state of Colorado permanently revoked Thompson’s investment adviser representative license and his company’s investment adviser license. Additionally, the U.S. Securities and Exchange Commission barred Thompson from associating with any investment adviser, dealer, broker, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization. The Corporation Commission found the revocations of Thompson and his company’s Arizona licenses to be appropriate, in the public interest and necessary for the protection of investors.

All documents relating to this agenda item can be found in the Corporation Commission's online docket at https://edocket.azcc.gov and entering docket number S-2116A-20-0255.

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