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FINRA Awards for Thrivent Investment Management Inc.

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Displaying 11-15 out of 15 results
Case Number Award Date Case Summary Customer Case? Amount Granted
16-0006711/16/2017Claimant(s): Ryan Behm
Claimant Lawyers(s): Roger N. Walter
Respondent(s): Thrivent Investment Management Inc.
Respondent Lawyers(s): Lindsay E. Wuller
Arbitrator(s): Steven Meyrich, David L. Erickson, William E Murray
Hearing Site: Denver, CO
17-0030909/12/2017Claimant(s): Chad Staskall
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Thrivent Investment Management Inc.
Respondent Lawyers(s): Jason A. Kempf
Arbitrator(s): Dean J. Dietrich
Hearing Site: Portland, OR
14-0370206/09/2016Claimant(s): Christopher Bibow
Claimant Lawyers(s): Donald L. Rhoads
Respondent(s): Thrivent Investment Management Inc., Thrivent Financial for Lutherans
Respondent Lawyers(s): Melissa Raphan
Arbitrator(s): Linda Yarden, Ellyn S. Roth
Hearing Site: New York, NY
13-0252003/04/2015Claimant(s): Terry Hollar
Claimant Lawyers(s): Roger N. Walter
Respondent(s): Michael Gerken, Stephen Molen, Thrivent Investment Management Inc.
Respondent Lawyers(s): Eric Martin
Arbitrator(s): C. Marcus Harris, James F. Major, David M. Finkel
Hearing Site: Charlotte, NC
13-0115302/25/2014Claimant(s): Joseph Cullen
Claimant Lawyers(s): Joseph Cullen
Respondent(s): Janice Suutala, Thrivent Investment Management Inc.
Respondent Lawyers(s): Peter J. Bado
Arbitrator(s): William H. Malloy
Hearing Site: Washington, DC

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