Tag Archives: Paul William Marks

Thrivent Stockbroker Suspended For Forgery

September 14, 2017  |   Posted by :   |   Forgery   |   0 Comments

Paul William Marks, of Angola, New York, a stockbroker formerly registered with Thrivent Investment Management Inc., has been fined and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity by consenting to findings that he forged customer account documents, failed to execute customer instructions and made misrepresentations to his firm […]

Read More »