Brian Clark Johnson of Sioux City Iowa a stockbroker formerly employed by Principal Securities Inc. has been discharged on July 25, 2017 supported by Principal Securities’ allegations that Johnson violated the firm’s policy by altering a customer’s fixed-annuity forms.
Financial Industry Regulatory Authority (FINRA) Public Disclosure additionally reveals that on December 21, 2012, a customer initiated investment related complaint involving Johnson’s conduct was resolved for $38,387.97 in damages based upon accusations that Johnson misrepresented the minimum amount that the customer’s variable annuity would be worth after a seven-year period.
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