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Thrivent Stockbroker Sanctioned For Alterting Customer Documents

September 14, 2020 | Posted by : Guiliano Law Group | Forgery | Comments Off

Luke Charles Nelson of Fosston Minnesota a stockbroker formerly registered with Thrivent Investment Management Inc. has been fined $5,000.00 and suspended for two months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that Nelson had altered customer account documentation. Letter of Acceptance Waiver and Consent No. 2019061507001 […]

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Thrivent Stockbroker Sanctioned For Alterting Customer Documents

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