Tag Archives: Thrivent Investment Management

Thrivent Censured By FINRA For Overcharging Customers

Thrivent Investment Management, Inc. a brokerage firm headquartered in Minneapolis Minnesota has been censured by Financial Industry Regulatory Authority (FINRA) based upon the firm’s consent to findings that it failed to supervise mutual fund sales with a view towards ensuring customers obtained breakpoint discounts and sales charge waivers. Letter of Acceptance Waiver and Consent No. […]

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