Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Byers (Byers), previously associated with Thrivent Investment Management INC., has at least one disclosable event. These events include one customer complaint, alleging that Byers recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on May 28, 2024.
Client alleged RR did not indicate retirement funds were being transferred to a new Variable Annuity contract in January 2024, nor were the fees or surrender charges disclosed.