FINRA Awards for Thrivent Investment Management Inc.

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Displaying 11-16 out of 16 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
19-00472	11/04/2019	Claimant(s): Eric Vogen Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Thrivent Investment Management Inc. Respondent Lawyers(s): Lindsay E. Wuller Arbitrator(s): Michael J. Ahlstrom Hearing Site: Columbia, SC
16-00067	11/16/2017	Claimant(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
17-00309	09/12/2017	Claimant(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
14-03702	06/09/2016	Claimant(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
13-02520	03/04/2015	Claimant(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
13-01153	02/25/2014	Claimant(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