JAMES DAVID MCNAUGHTON at THRIVENT INVESTMENT MANAGEMENT INC. – View Complaints, Disclosures, Scams and Audit Report (Updated 2023)

March 8, 2023
CRD# 6082816

Disclosure #1 for JAMES MCNAUGHTON

    • Event Date: 10/9/2019
    • Disclosure Type: Judgment / Lien
    • Resolution:
    • Judgment/Lien Amount: $12,109.08
    • Judgment/Lien Type: Civil
    • Broker Comment: I did not realize this was a reportable event because it involved a minor late payment issue on a credit card that stemmed from health issues that were caused by major medical events that was going to be resolved with a payments. However, significant economic events overtook this plan. The mitigating circumstances involved a significant decrease in business during the Covid-19 Pandemic and the prioritization of paying basic needs like food and housing. This matter was recently resolved on April 13, 2021 with a payment plan that will become effective on May 1st, 2021. The payment plan will include $500 monthly payments over the next 24 months starting on May 1st, 2021.

Should I file a FINRA complaint against brokers like JAMES DAVID MCNAUGHTON?

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 JAMES DAVID MCNAUGHTON’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 JAMES DAVID MCNAUGHTON

What is JAMES MCNAUGHTON’s Central Registration Depository (CRD) Number?

Which firm is JAMES DAVID MCNAUGHTON associated with?


Where is JAMES MCNAUGHTON located?

3 Allied Dr, Dedham, MA, 2026

Where can I find more details about JAMES MCNAUGHTON’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 JAMES DAVID MCNAUGHTON?

Yes. There are disclosures, allegations, or complaints filed against JAMES DAVID MCNAUGHTON. Click here to view all details

Where can I download a detailed FINRA report for JAMES MCNAUGHTON?

Click here to download a detailed FINRA report for JAMES MCNAUGHTON

Is it safe to do business with JAMES DAVID MCNAUGHTON?

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

Originally reported on November 17, 2022 @ 8:34 pm



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