Robert Holmes Gunning of Fresno California a stockbroker formerly employed by Principal Securities Inc. has been terminated from employment on February 8, 2018 following the firm’s investigation into Gunning’s activities for possible excessive trading in customer accounts.
FINRA Public Disclosure confirms that Gunning has been identified in two more customer initiated investment related disputes pertaining to allegations of Gunning’s misconduct while employed by Citigroup GMI and Salomon Smith Barney. Specifically, on January 6, 2003, a customer filed an investment related complaint that pertained to Gunning’s conduct where the customer alleged that unit investment trust, mutual fund and over-the-counter equities transactions were placed in the customer’s account without supervision.
Then, on April 30, 2004, a customer filed an investment related complaint regarding Gunning’s conduct in which the customer alleged that Gunning failed to supervise transactions placed in the customer’s account.
Since February 28, 2018, Gunning has been registered with Independent Financial Group, LLC.
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