Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 31, 2018 indicate that Iowa-based brokerage and advisory firm Principal Securities has received several customer disputes and regulatory events. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Principal Securities (CRD# 1137). Established in Iowa in 1968,…

Read More

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on December 12, 2017 indicate that former Iowa-based Principal Securities broker/adviser John Krohn has received a pending customer dispute and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Hodges…

Read More

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on February 9, 2017 indicate that Iowa-based broker-dealer Principal Securities has been sanctioned over alleged supervisory failures. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Principal Securities (CRD# 1137). Established in Iowa in 1968, Principal Securities is headquartered in Des…

Read More

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on January 13, 2017 indicate that former California-based Principal Securities broker Steven Bohn has been terminated from his former employer and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Bohn (CRD#…

Read More