RedFlag, Allegation and/or Complaint against Lisa Marie Vorce
Disclosure #1 for Lisa Vorce
- Event Date: 8/18/2016
- Disclosure Type: Civil
- Resolution: Final
- Initiated By: TMFS Holdings, LLC, TMFS Advisors, LLC and Financial Engines, Inc.
- Allegations: Breach of contract
- Resolution: Settled |Sanctions: Injunction
- Broker Comment: This was a breach of contract where I was found to divert assets from previous firm to Visionary Wealth Advisors. I was not found to have solicited. I was an assistant to the advisor when we changed firms. Case settled and dismissed with prejudice. I did not pay any settlement costs or attorney fees.
Should I file a FINRA complaint against brokers like Lisa Marie Vorce?
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 Lisa Marie Vorce’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!
BrokerAudit.com helps you make informed choices about brokers and brokerage firms and provides easy access to investment adviser information. Our database reports whether a person or firm is registered, as required by law, to sell securities (stocks, bonds, mutual funds, and more), offer investment advice, or both. We provide you with a snapshot of a broker’s employment history, regulatory actions, investment-related licensing information, arbitrations, and complaints, and allow users to share their experiences and reviews with these brokers and brokerage firms.
Frequently Asked Questions About Lisa Marie Vorce
What is Lisa Vorce’s Central Registration Depository (CRD) Number?
Which firm is Lisa Marie Vorce associated with?
THRIVENT INVESTMENT MANAGEMENT INC.
Where is Lisa Vorce located?
784 Wall St, O’Fallon, IL, 62269
Where can I find more details about Lisa Vorce’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 Lisa Marie Vorce?
Where can I download a detailed FINRA report for Lisa Vorce?
Is it safe to do business with Lisa Marie Vorce?
We’re not sure. Please research Lisa Vorce’s disclosures, allegations and complaints before taking a decision
Originally reported on November 17, 2022 @ 8:40 pm
The views and opinions expressed in these articles are those of the source BROKERAUDIT.COM and do not necessarily reflect the official position of ‘Meta Byte,’ which shall not be held liable for any inaccuracies presented. The information provided within this article is for general informational purposes only. While we try to keep the information up-to-date and correct, there are no representations or warranties, express or implied, about the completeness, accuracy, reliability, suitability or availability of the information in this article for any purpose.
This article is syndicated automatically through a third-party agency from BROKERAUDIT.COM.
To view the original article at BROKERAUDIT.COM, you can visit https://www.brokeraudit.com/lisa-marie-vorce-thrivent-investment-management-inc/.