Stoltmann Law Offices is investigating Robert Ward who was most recently registered with Thrivent Investment Management in Eagan, Minnesota. Mr. Ward was accused of engaging, and permitting other firm employees to engage in a practice of obtaining customer signatures on blank or incomplete forms and photocopying customer signatures. For this, he was suspended for nine months and fined $7,500. He also allegedly had clients sign blank documents, which is also against securities rules and for this he was suspended for six months and fined $5,000. If you suffered losses because of Mr. Ward, you may be able to recover those by suing his former firm, Thrivent Investment Management, in the Financial Industry Regulatory Authority (FINRA) on a contingency fee basis. The call to us is free so please call today to find out how. 312-332-4200.
Robert William Ward was registered with Lutheran Brotherhood Securities in Minneapolis, Minnesota from March 2001 until July 2002 and Thrivent Investment Management in Eagan, Minnesota from July 2002 until May 2015. He has one customer dispute against him. He is not registered within the industry and has been suspended, according to his FINRA online BrokerCheck report.
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