Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Neil Zeller (Zeller), currently associated with Thrivent Investment Management INC., has at least one disclosable event. These events include one customer complaint, alleging that Zeller 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 $10,473.00 on December 23, 2020.
Client alleged the recommendation to exchange mutual funds in March 2020 was not in her best interest.