Tag Archives: Thrivent Investment Management Inc

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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Thrivent Stockbroker Sanctioned For Alterting Customer Documents

September 14, 2020  |   Posted by :   |   Forgery   |   Comments Off on Thrivent Stockbroker Sanctioned For Alterting Customer Documents

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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FINRA Bars Thrivent Stockbroker Over Dead Client’s Estate

Daniel Joseph Arcuri Jr. of Greensburg Pennsylvania a stockbroker formerly registered with Thrivent Investment Management Inc. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity according to a FINRA Office of Hearing Officers Decision containing findings that he neglected to respond to a FINRA Department of Enforcement Complaint […]

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Thrivent Stockbroker Barred For Lying To FINRA

Paul William Petrillo of Volo Illinois a stockbroker formerly registered with Thrivent Investment Management has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon allegations that (1) Petrillo effected securities transactions without having disclosed them to the securities broker dealer and procured authorization and (2) Petrillo lied […]

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FINRA Bars Thrivent Stockbroker In Theft Investigation

Daniel Joseph Arcuri Jr. of Greensburg Pennsylvania a stockbroker formerly registered with Thrivent Investment Management Inc. has been charged by Financial Industry Regulatory Authority (FINRA) in a Complaint alleging that he neglected to provide recorded testimony to FINRA personnel for its investigation into allegations that (1) Arcuri misappropriated a customer’s funds and (2) Arcuri engaged […]

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Independent Financial Stockbroker Sanctioned By Regulators

September 13, 2019  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

Michael John Wood of Lake Tapps Washington a stockbroker currently employed by Independent Financial Group LLC is the subject of sanctions issued by the State of Michigan according to a Stipulation and Order founded on allegations that Wood engaged in unethical or dishonest practices while in the securities industry. Case No. 337031 (Mar. 6, 2019). […]

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Thrivent Stockbroker Sanctioned For Unauthorized Trading

August 28, 2019  |   Posted by :   |   Investment and Regulatory News, Unauthorized Trading   |   0 Comments

Arlyn Roy Stokesbary of Slayton Minnesota a stockbroker formerly registered with Thrivent Investment Management Inc. has been fined $5,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that Stokesbary executed unauthorized trades in customer accounts during the period in which he was associated with the […]

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Thrivent Stockbroker Barred For Unauthorized Transactions

June 03, 2019  |   Posted by :   |   Forgery, Investment and Regulatory News   |   0 Comments

Thomas Leroy Studer of The Villages Florida a stockbroker formerly employed by Thrivent Investment Management Inc. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon accusations that Studer failed to cooperate with a FINRA investigation into allegations that Studer violated the firm’s policies and caused unauthorized […]

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Thrivent Accused By Investor Of Annuity Misrepresentation

September 27, 2018  |   Posted by :   |   Investment and Regulatory News, Variable Annuites   |   0 Comments

Nathan Walter Wangerin of Denver Colorado a stockbroker currently employed by Thrivent Investment Management Inc. is referenced in a customer initiated investment related written complaint on September 8, 2017 in which the customer sought $23,119.95 in damages founded on allegations that Wangerin misrepresented the rider selected by the customer in connection with the purchase of […]

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Thrivent Broker Fined For Outside Business Activities

November 28, 2017  |   Posted by :   |   Variable Annuites   |   0 Comments

Terry Xing-Zhao Wu, of San Francisco, California, a stockbroker formerly registered with Thrivent Investment Management, Inc. has been fined $7,500.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he engaged in outside business activities and solicited unauthorized life insurance investments. Letter of […]

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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 […]

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Thrivent Investment Management Settles Case with Customer

July 01, 2017  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

Gerhard Frederick Heuer, of Beaverton, Oregon, a registered representative formerly associated with Thrivent Investment Management Inc., has been named in a customer initiated investment related written complaint, which settled on June 6, 2017, for $43,000.00 in damages based upon allegations that he failed to inform the customer about the premiums required to be paid by […]

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Thrivent Investment Management Stockbroker Barred

Jean Ann Walsh-Josephson, of Oshkosh, Wisconsin, a stockbroker formerly registered with Thrivent Investment Management Inc., has been permanently barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that she failed to provide a response to FINRA’s information request. Letter No. 2015046529801 (Jan. 26, 2016). FINRA […]

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Thrivent Investment Mangagement Stockbroker Barred For Stealing

Eugene D. Anderson, of Apache Junction, Arizona, a stockbroker formerly registered with Thrivent Investment Management, Inc., has been permanently barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he obstructed a FINRA investigation into allegations that Anderson converted customer funds. Letter of Acceptance, Waiver […]

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Thrivent Investment Management Stockbroker Suspended For Unauthorized Trading

December 17, 2016  |   Posted by :   |   Investment and Regulatory News, Unauthorized Trading   |   0 Comments

Matthew Niederbaumer, of Huron, South Dakota, a stockbroker currently registered with Thrivent Investment Management Inc., was fined $5,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity after consenting to findings that he effected unauthorized trades in a customer’s account. Letter of Acceptance, Waiver and Consent, No. 2016050492401 (Dec. […]

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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 […]

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