DID MARK ALAN PETESON CAUSE YOU INVESTMENT LOSSES?
Mark Peterson Of Thrivent Investment Management Inc. Has 2 Customer Complaints For Alleged Broker Misconduct
Who is Mark Peterson of Thrivent Investment Management Inc.?
Mark Peterson (CRD #4485199) who is currently registered as a broker and investment advisor with Thrivent Investment Management Inc. and located in Bellevue, Washington, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Thrivent Investment Management Inc., Mark Peterson was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
Mark Peterson Customer Complaints
Mark Peterson has been the subject of 2 customer complaints that we know about to recover investment losses. Both of the customer complaints were settled by Thrivent Investment Management Inc. in favor of the investors.
Allegations Against Mark Peterson
A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows:
- Full disclosure was not made concerning tax consequences of withdrawal from a variable annuity contract.
- Failure to consider certain government offsets when preparing a financial plan in breach of his fiduciary duty.
Mark Peterson Red Flags & Your Rights As An Investor
Of course, Mark Peterson did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Mark Peterson at Thrivent Investment Management Inc. on alert to review carefully the activity and performance of their accounts and question whether Mark Peterson has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Thrivent Investment Management Inc. also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.
Did You Lose Money Because of Broker Misconduct?
If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.
Need Legal Help? Let’s talk.or, give us a ring at 561-338-0037.
File A Claim To Recover Your Investment Losses At Thrivent Investment Management Inc. Due To Mark Peterson
If you have questions about Thrivent Investment Management Inc. and/or Mark Peterson and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.
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