Paul Marks and Thrivent Investment Management Inc.: What Investors Can Do

AdobeStock_112465076-1-300x164Paul William Marks was recently accused of forging client signatures on forms required for a deposit in January 2016. Mr. Marks allegedly forged the customer’s signature on three documents without the customer’s consent or authorization. He also allegedly failed to timely execute the customer’s 2015 transaction, which resulted in a two-month delay in the customer’s investment. He also allegedly made false statements to his firm, Thrivent Investment Management, about the forgeries. These are against securities rules, and Marks was fined $5,000 and suspended for six months. According to the Financial Industry Regulatory Authority (FINRA), Paul Marks was registered with Thrivent Investment Management in Angola, New York from December 2008 until June 2016. He is not currently registered. To find out how you may be able to sue Thrivent Investment Management in the FINRA arbitration forum, please call our securities law offices today. We are securities attorneys based in Chicago, Illinois, who may be able to help you recover your losses on a contingency fee basis. The call is free with no obligation.

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