Tag Archives: Brian Clark Johnson

Principal Broker Discharged For Altering Customer Forms

November 23, 2018  |   Posted by :   |   Investment and Regulatory News, Variable Annuites   |   0 Comments

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 […]

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