In a recent article from Think Advisor, we learn that the Financial Industry Regulatory Authority (FINRA) has censured and fined Thrivent Investment Management, $325,000 for failing to establish and maintain a supervisory system to detect electronic signature forgery or falsification. According to FINRA’s order, from July 2017 to the present, approximately 15 Thrivent registered representatives allegedly […]

Soreide Law Group (888-760-6552) obtained the following information from FINRA’s website under, “Disciplinary and Other FINRA Actions, July 2016.” Miguel Angel Hernandez (CRD #4733002, El Paso, Texas) was barred by FINRA for allegedly obtaining $25,000 in cash from an elderly client under false pretenses and converted those funds for personal use. FINRA’s findings stated that […]