Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nicholas Baecker (Baecker), previously associated with Thrivent Investment Management INC., has at least 3 disclosable events. These events include one customer complaint, 2 regulatory events, alleging that Baecker recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a final customer complaint on February 25, 2021.
Misstatements on applications and forged signatures