Securities Lawyers Blog
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.