Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker Brandon Larsen [CRD: 6192239, Green Bay, Wisconsin]. Evidently, Larsen worked for Thrivent Investment Management Inc. from October 3, 2013, to January 22, 2024, before joining Equity Services Inc. on February 21, 2024. Larsen’s disclosures include allegations of unauthorized trading and failure to disclose outside […]

Soreide Law Group is currently investigating potential claims on behalf of investors who have incurred losses due to James Floyd Garraway III (also known as Trey Garraway) (CRD: 7132872, Hattiesburg, Mississippi). Garraway worked for Thrivent Investment Management Inc. from November 15, 2019, to January 12, 2022. Specifically, FINRA sanctioned him for alleged forgery and record-keeping […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Robert Mandau (also known as Bob Mandau) (CRD: 3247517, Willoughby Hills, OH). Not only has FINRA sanctioned Mandau for outside business activities, but investors disputed the sales practices of the securities broker. However, Mandau denies the allegations. Read on to learn more about […]

Thrivent Broker Nicholas Baecker Sanctioned By Oregon Division Of Financial Regulation, FINRA Soreide Law Group comes to you with important information regarding securities broker Nicholas Gregory Baecker (CRD#: 5618205, Portland, Oregon). Specifically, the Financial Industry Regulatory Authority (FINRA) and the Oregon Division of Financial Regulation sanctioned Baecker. Not only that, but one of Baecker’s clients […]

THOMAS STUDER (Villages, Florida) Barred By FINRA Thomas Studer (CRD#: 6300308, The Villages, FL) is one of the latest securities brokers who the Financial Industry Regulatory Authority (“FINRA”) barred from the securities industry for attempts at thwarting a FINRA investigation. FINRA found Studer uncooperative when investigating his allegedly unauthorized activities. On May 20, 2019, Studer […]