Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Noey (Noey), currently associated with Principal Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Noey recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on September 09, 2025.
The Trustee alleges the representative ceased providing advice and services, and his failure to act in the best interests of the Trust resulted in damages.