June 2020- The Villages, TX
According to publicly available records, former Thrivent Investment Management, Inc., financial advisor Thomas Struder, has been barred from the securities industry by FINRA.
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
In May 2019 in FINRA case 2018060478101 Studer was permanently barred from the securities industry to resolve allegations that he failed to follow procedures regarding power of attorney documentation that resulted in the firm facilitating a transaction by an individual who was not an authorized representative on the account.
Studer was employed by Thrivent Financial and Thrivent Investment Management, Inc. from June of 2014 until 11/2018.
If you have losses in an account handled by Thomas Studer, call to learn how you may be able to recover damages through FINRA arbitration.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
Florida-561 391 1900