Tag Archives: Miguel Hernandez

Thrivent Investment Management Stockbroker Barred For Stealing

June 08, 2016  |   Posted by :   |   Elder Financial Abuse, Investment and Regulatory News, Misappropriation of Funds, Stockbroker Theft   |   Comments Off on Thrivent Investment Management Stockbroker Barred For Stealing

Miguel Hernandez, of El Paso, Texas, a stockbroker with Thrivent Investment Management, Inc., was permanently barred from associating with any Financial Industry Regulatory Authority (FINRA) member firm in any capacity after consenting to findings that he converted customer funds. Letter of Acceptance, Waiver and Consent, No. 2015045623201 (Apr. 25, 2016). According to the AWC, Hernandez […]

Read More »