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Nicholas Baecker Formerly With Thrivent Investment Management Inc. Has A Customer Complaint For Alleged Broker Misconduct

Who is Nicholas Baecker formerly with Thrivent Investment Management Inc.?

Nicholas Baecker

Nicholas Baecker (CRD #5618205) who was formerly registered as a broker with Thrivent Investment Management Inc. and located in Portland, Oregon, is a subject of one of our many securities industry sales practice abuse investigations. Nicholas Baecker has had his own regulatory problems. In 2020, without admitting or denying the allegations, this financial advisor consented to the sanctions of a four-month suspension and a $5000 fine for allegedly electronically forging customer signatures on life insurance applications.

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Nicholas Baecker Customer Complaint

Nicholas Baecker has been the subject of at least one customer complaint that we know about to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were for selling a whole life insurance policy and a variable annuity that was not in the customer’s best interest. Thrivent Investment Management settled the customer complaint in favor of the investor. It also terminated Nicholas Baecker’s employment at the firm.

Nicholas Baecker Red Flags & Your Rights As An Investor

Of course, Nicholas Baecker 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 Nicholas Baecker at Thrivent Investment Management Inc. on alert to review carefully the activity and performance of their accounts and question whether Nicholas Baecker 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?

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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.

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or, give us a ring at 561-338-0037.

File A Claim To Recover Your Investment Losses At Thrivent Investment Management Inc. Due To Nicholas Baecker

If you have questions about Thrivent Investment Management Inc. and/or Nicholas Baecker 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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Robert Wayne Pearce

Robert Wayne Pearce of The Law Offices of Robert Wayne Pearce, P.A. has been a trial attorney for more than 40 years and has helped recover over $170 million dollars for his clients. During that time, he developed a well-respected and highly accomplished legal career representing investors and brokers in disputes with one another and the government and industry regulators. To speak with Attorney Pearce, call (800) 732-2889 or Contact Us online for a FREE INITIAL CONSULTATION with Attorney Pearce about your case.

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