Articles Tagged with Principal Securities

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Bardin (Bardin), previously associated with Principal Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Bardin recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on April 10, 2023.

The client alleges the financial professional misrepresented the variable life insurance product sold to him, which he now believes was unsuitable, resulting in a loss of return on his investment and unknown tax consequences.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Clark (Clark), currently associated with Principal Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Clark recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $68,000.00 on July 07, 2023.

The client alleged the financial professional’s lack of due diligence resulted in an unauthorized distribution from his account to a third party without his knowledge or consent.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Markle (Markle), currently associated with Principal Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Markle recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on July 02, 2025.

The client alleges that as a result of the misinformation provided by his registered representative regarding an indirect rollover transaction for his variable annuity contract, he suffered damages related to loss of gains and new surrender charges.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kimberly Carson (Carson), previously associated with Principal Securities, INC., has at least 2 disclosable events. These events include 2 regulatory events, alleging that Carson recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on July 09, 2024.

Respondent Carson failed to pay fines of $5,000 in FINRA Case #2022074541501.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Pearson (Pearson), previously associated with Principal Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Pearson recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $5,001.00 on February 29, 2024.

The complainant alleges negligence, breach of fiduciary duty, conversion, forgery and fraud, beginning on/or about September 2003, relative to an IRA account, Variable and Fixed Annuities.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Kendall (Kendall), previously associated with Principal Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Kendall recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $5,001.00 on February 29, 2024.

The complainant alleges negligence, breach of fiduciary duty, conversion, forgery and fraud, beginning on/or about September 2003, relative to an IRA account, Variable and Fixed Annuities.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Ganther (Ganther), currently associated with Principal Securities, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Ganther recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on January 31, 2025.

The clients allege that they were not made aware that by annuitizing the variable annuity contracts that their income would increase and cause additional tax obligations.

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The law offices of Gana Weinstein LLP are currently investigating claims that Broker Brian Davis (Davis) has been accused by investors of engaging in fraudulent misappropriation of their funds. According to records kept by The Financial Industry Regulatory Authority (FINRA), it appears that Davis was employed by Principal Securities, Inc. at the time of the activity.  If you have been a victim of Davis’s alleged misconduct our firm may be able to assist you in recovering funds.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $75,000.00 on October 07, 2024.

The Plaintiffs allege Breach of Contract, Unjust Enrichment, Actual and Constructive Fraud, and ConstructiveTrust when the defendants breached the terms of the promissory notes by failing and/or refusing to pay thePlaintiffs the loan proceeds when due.

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The law offices of Gana Weinstein LLP are currently investigating claims that Broker Ryan Davis (Davis) has been accused by investors of engaging in fraudulent misappropriation of their funds. According to records kept by The Financial Industry Regulatory Authority (FINRA), it appears that Davis was employed by Principal Securities, Inc. at the time of the activity.  If you have been a victim of Davis’s alleged misconduct our firm may be able to assist you in recovering funds.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $75,000.00 on October 07, 2024.

The Plaintiffs allege Breach of Contract, Unjust Enrichment, Actual and Constructive Fraud, and Constructive Trust when the defendants breached the terms of the promissory notes by failing  and/or refusing to pay the Plaintiffs the loan proceeds when due.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michelle Gattis (Gattis), currently associated with Principal Securities, Inc., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Gattis recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $5,000.00 on January 24, 2025.

Client alleges RR made misrepresentations in connection with a VUL policy purchased in 2021.

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