Jonathan Prytherch

Jonathan Prytherch

Moore & Van Allen PLLC

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SEC Settlement Reminds Firms to Periodically Review Their Use of Models, Calculators and Tools When Making Client Recommendations

On October 2, 2024, the Securities and Exchange Commission (“SEC”) announced it had settled enforcement proceedings against Thrivent Investment Management, Inc. (“Thrivent”), a SEC dually-registered broker-dealer and...more

10/17/2024  /  Enforcement Actions , Securities and Exchange Commission (SEC) , Securities Litigation , Securities Regulation , Securities Violations , Settlement
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