Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Simons (Simons), currently associated with Thrivent Investment Management INC., has at least one disclosable event. These events include one customer complaint, alleging that Simons 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 $40,246.92 on June 13, 2022.
Client alleged the fixed immediate annuity purchased in May 2021 was not his best option.