Tag Archives: Robert Leslie Mandau

Thrivent Stockbroker Sanctioned For Outside Business Activities

February 01, 2021  |   Posted by :   |   Investment and Regulatory News, Selling Away and Outside Activities   |   Comments Off on Thrivent Stockbroker Sanctioned For Outside Business Activities

Robert Leslie Mandau (also known as Bob Leslie Mandau) of Willoughby Hills Ohio a stockbroker formerly registered with Thrivent Investment Management Inc. has been fined $5,000.00 and suspended for three months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that Mandau engaged in outside business activities without […]

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