Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Cecile Gallot (Gallot), previously associated with Thrivent Investment Management INC., has at least one disclosable event. These events include one customer complaint, alleging that Gallot recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on April 16, 2025.
Client alleged the variable annuity purchased in March of 2023 was not appropriate due to his liquidity needs.