LUCAS JAMES WESTBY at THRIVENT INVESTMENT MANAGEMENT INC. – View Complaints, Disclosures, Scams and Audit Report (Updated 2023)
RedFlag, Allegation and/or Complaint against LUCAS JAMES WESTBY
Disclosure #1 for LUCAS WESTBY
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- Event Date: 1/8/2009
- Disclosure Type: Customer Dispute
- Resolution: Denied
- Allegations: CLIENT ALLEGES RECOMMENDATION TO CHANGE THE SUBACCOUNT ALLOCATION IN HIS VARIABLE ANNUITY(VA) RESULTED IN LOSS OF VALUE IN HIS VA. VA WAS ISSUED 03/25/1993. FIRM FOUND NO EVIDENCE OF WRONGDOING.
- Damage Amount Requested: $35,900.69
- Arbitration Docket Number:
Should I file a FINRA complaint against brokers like LUCAS JAMES WESTBY?
Many investors (presumably, like yourself) are unaware of the legal recourse available to them after losing money due to securities broker fraud and/or negligence. The truth is that investors who lost money in this fashion may actually be entitled to damages. You may suffer significant losses at the hands of your financial advisors’ misconduct, such as if they misrepresented or failed to disclose the risks associated with a particular investment, recommended frequent trades for the sole purpose of generating commissions, or used high-pressure tactics to make a sale. The rules and regulations of securities laws and FINRA policies are complex, and investment loss claims require an extensive understanding of securities arbitration to achieve the best possible results.
Update – 2022.11.15If you have suffered investment losses that may have been caused by LUCAS JAMES WESTBY’s negligence or fraud, contact a FINRA lawyer today. Most FINRA lawyers work on a contingency fee basis, meaning that you will not be charged for their services unless they successfully collect money for you. Kindly add a comment, or contact us directly if you have any query, or want to be contacted by a FINRA lawyer today!
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Frequently Asked Questions About LUCAS JAMES WESTBY
What is LUCAS WESTBY’s Central Registration Depository (CRD) Number?
Which firm is LUCAS JAMES WESTBY associated with?
THRIVENT INVESTMENT MANAGEMENT INC.
Where is LUCAS WESTBY located?
708 HEARTLAND TRL STE 2800, MADISON, WI, 53717
Where can I find more details about LUCAS WESTBY’s Investment Firm?
Visit https://brokercheck.finra.org/firm/summary/18387 to read a detailed report for THRIVENT INVESTMENT MANAGEMENT INC.
Are there any disclosures, allegations or complaints filed against LUCAS JAMES WESTBY?
Where can I download a detailed FINRA report for LUCAS WESTBY?
Is it safe to do business with LUCAS JAMES WESTBY?
We’re not sure. Please research LUCAS WESTBY’s disclosures, allegations and complaints before taking a decision
Originally reported on November 17, 2022 @ 8:33 pm
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