Principal Securities (f/k/a Princor Financial Services Corp) – Investor Alert
Galvin Legal is launching an investigation on behalf of investors who may have suffered losses investing with Principal Securities (f/k/a Princor Financial Services Corp). If you suffered losses investing with Principal Securities (f/k/a Princor Financial Services Corp), then Galvin Legal may be able to help you recover your losses in a Financial Industry Regulatory Authority (“FINRA“) arbitration claim.
Principal Securities (f/k/a Princor Financial Services Corp) (CRD# 1137) (SEC# 8-13975)
As of September 12, 2016, Principal Securities (f/k/a Princor Financial Services Corp)’s FINRA BrokerCheck Report contains the following:
4 Regulatory Event Disclosures
2 Civil Event Disclosures
3 Arbitration Disclosures
0 Bond Disclosures
Main Office Location
655 9TH STREET
DES MOINES, IA 50309
PRINCIPAL FINANCIAL GROUP
711 HIGH STREET
DES MOINES, IA 50392-2080
Business Telephone Number
Direct Owners and Executive Officers
PRINCIPAL FINANCIAL SERVICES, INC. – OWNER
CECERE, NICHOLAS MICHAEL (CRD# 1513551) – DIRECTOR/SENIOR VICE PRESIDENT
CHRISTENSEN, SCOTT ALLEN (CRD# 6462933) – CHIEF FINANCIAL OFFICER
ELMING, GREGORY BERNARD (CRD# 1896297) – DIRECTOR
EVERETT, NORA MARY (CRD# 5511200) – DIRECTOR
HARMS, LEE MARVIN (CRD# 6663355) – CHIEF INFORMATION SECURITY OFFICER
HOOGENSEN, KARA MARIE (CRD# 2782240) – PRESIDENT/CHIEF EXECUTIVE OFFICER/CHAIR
LECLERE, JULIE SINN (CRD# 2641189) – SENIOR VICE PRESIDENT/MANAGING DIRECTOR
LITCHFIELD, JENNIFER A R (CRD# 5209574) – VICE PRESIDENT/CHIEF COMPLIANCE OFFICER
SHAFF, KAREN ELIZABETH (CRD# 4343508) – EXECUTIVE VICE PRESIDENT/GENERAL COUNSEL/SECRETARY
STRABLESOETHOUT, DEANNA (CRD# 6467090) – DIRECTOR
VAN BAALE, JEFFREY ALAN (CRD# 6476362) – CHIEF INFORMATION OFFICER
WELDON, TRACI LEA (CRD# 2203819) – SENIOR VICE PRESIDENT
FINRA requires brokerage firms to conduct due diligence on investments and to conduct a suitability analysis when recommending securities to a customer that takes into account the customer’s knowledge and experience. Brokerage firms that fail to conduct adequate due diligence or that make unsuitable recommendations can be held responsible for the customer’s losses in a FINRA arbitration claim.
If you suffered losses investing with Principal Securities (f/k/a Princor Financial Services Corp) and would like a free consultation with a securities attorney, then please call Galvin Legal at 1-800-405-5117.
Galvin Legal is a national securities arbitration, mediation, fraud, and investor protection law practice. For more information on Galvin Legal, please visit www.galvinlegal.com or call 1-800-405-5117.