JOSEPH FRANCIS MISCIA at THRIVENT INVESTMENT MANAGEMENT INC. – View Complaints, Disclosures, Scams and Audit Report (Updated 2023)

CRD# 1591148
JOSEPH FRANCIS MISCIA is an Investment Adviser, associated with THRIVENT INVESTMENT MANAGEMENT INC. located at BERLIN, CT. JOSEPH MISCIA’s Central Registration Depository (CRD) number is 1591148 and the FINRA Profile can be found at – https://brokercheck.finra.org/individual/summary/5134112.

Disclosure #1 for JOSEPH MISCIA

    • Event Date: 12/5/2008
    • Disclosure Type: Customer Dispute
    • Disclosure Resolution: Settled
    • Disclosure Detail :: Allegations: CUSTOMER COMPLAINED THAT RECOMMENDATIONS MADE FOR HIS DISCOUNT BROKERAGE ACCOUNT THAT WAS ESTABLISHED IN JUNE 2007 WERE UNSUITABLE GIVEN CUSTOMER’S RISK TOLERANCE.
    • Damage Amount Requested: $21,000.00
    • Settlement Amount: $7,800.00
    • Arbitration Docket Number:
    • Broker Comment: U4 IS BEING UPDATED AT THIS TIME TO REFLECT THE 2009 SETTLEMENT OF $7,800. FIRM ORIGINALLY DENIED ANY WRONGDOING BY RR, BUT CASE WAS SUBSEQUENTLY SETTLED THROUGH THE FIRM’S INTERNAL MEDIATION PROCESS FOR THE AMOUNT LISTED ABOVE.


Should I file a FINRA complaint against brokers like JOSEPH FRANCIS MISCIA?

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 JOSEPH FRANCIS MISCIA’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 JOSEPH FRANCIS MISCIA

What is JOSEPH MISCIA's Central Registration Depository (CRD) Number?

1591148

Which firm is JOSEPH FRANCIS MISCIA associated with?

THRIVENT INVESTMENT MANAGEMENT INC.

Where is JOSEPH MISCIA located?

953 FARMINGTON AVE, BERLIN, CT, 6037

Where can I find more details about JOSEPH MISCIA'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 JOSEPH FRANCIS MISCIA?

Yes. There are disclosures, allegations, or complaints filed against JOSEPH FRANCIS MISCIA. Click here to view all details

Where can I download a detailed FINRA report for JOSEPH MISCIA?

Click here to download a detailed FINRA report for JOSEPH MISCIA

Is it safe to do business with JOSEPH FRANCIS MISCIA?

We’re not sure. Please research JOSEPH MISCIA’s disclosures, allegations and complaints before taking a decision


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