Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jacob Baker (Baker), currently associated with Thrivent Investment Management INC., has at least one disclosable event. These events include one customer complaint, alleging that Baker recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on April 07, 2022.
Client alleged he had not agreed to the surrender charges on his new VA contract in May 2021.