Principal Securities Inc.

Regulator action

United States. Named in 4 sanctions listings.

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Sanctions and listings4

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/15/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015048330401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Principal Securities. Inc., Respondent CRD No. 1137 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Principal Securities, Inc., f/k/a Princor Financial Services Corporation, ("Principal Securities" or "the Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of
Reference 2015048330401data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/21/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015043589501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Principal Securities, Inc. (f/k/a Princor Financial Services Coiporation), Respondent Member Firm CRD No. 1137 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Principal Securities, Inc. (f/k/a Princor Financial Services Corporation, hereinafter "Principal Securities" or "the Firm") submits
Reference 2015043589501data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/26/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015047322502 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: Principal Securities, Inc., Respondent (“Principal Securities”) CRD No. 1137 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Principal Securities submits this Letter of Acceptance, Waiver and Consent (“AWC”) for the purpose of proposing a settlement of the alleged rule violations described
Reference 2015047322502data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/02/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013035279601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Princor Financial Services Corporation, Respondent Member Firm CRD No. 1137 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Princor Financial Services Corporation ("Princor" or the ''Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement
Reference 2013035279601finra.org data-portal.finra.org

Other names2

Also known as1

PRINCOR FINANCIAL SERVICES CORPORATION

Previously known as1

Names the source records this subject as having used before.

Princor Financial Services Corporation

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