Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Doris Cheek (Cheek), currently associated with Thrivent Investment Management INC., has at least one disclosable event. These events include one customer complaint, alleging that Cheek recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $22,014.00 on March 13, 2020.
Client alleges financial advisor misrepresented the tax withholding on his IRA distributions.