Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gerald Roth (Roth), currently associated with Thrivent Investment Management INC., has at least one disclosable event. These events include one customer complaint, alleging that Roth recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on May 09, 2022.
Client alleged variable annuity subaccount reallocation did not take place as requested in April 2022.