Securities Fraud and Mismanagement

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unauthorized trading

Losses with Matthew David Niederbaumer

by | Feb 16, 2017 | Uncategorized

Please call if you suffered losses with Matthew David Niederbaumer of Huron, South Dakota and employed by Thrivent Investment Management. Mr. Niederbaumer submitted an AWC, a settlement agreement where a securities broker neither admits but cannot deny fault, in which...

Dougherty & Company Investment Losses

by | Jan 18, 2017 | Uncategorized

  The Financial Industry Regulatory Authority (FINRA) announced in January 2017 that it resolved a regulatory action against Dougherty & Company LLC, headquartered in Minneapolis, Minnesota.  We believe that this action exposed supervisory problems within...