Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Glenn Deal (Deal), currently associated with Thrivent Investment Management INC., has at least one disclosable event. These events include one customer complaint, alleging that Deal recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $8,538.80 on May 12, 2026.
Client alleged unauthorized Qualified Charitable Distributions occurred due to handwriting of corrected dollar amount and initials on corrected form not matching that of the owner. RR admitted that he placed the dollar amount and client initials on the corrected form.