Tag Archives: Princor Financial Services Corporation

Princor Financial Accused By Investors Of Misrepresentation

June 28, 2019  |   Posted by :   |   Customer Loans, Investment and Regulatory News   |   0 Comments

Rick Esparza of Rancho Murrieta California a stockbroker formerly employed by Princor Financial Services Corporation is referenced in a customer initiated investment related written complaint which had been resolved for $19,500.00 on June 24, 2016 supported by accusations that false or misleading statements were made to the customer in regard to the customer’s provision of […]

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Princor Stockbroker Suspended For Unauthorized Trading

August 26, 2017  |   Posted by :   |   Investment and Regulatory News, Unauthorized Trading   |   0 Comments

Ralph Edward Martin, of Washington, Illinois, a stockbroker formerly registered with Princor Financial Services Corporation, has been fined $10,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he effected unauthorized trades in customer accounts. Letter of Acceptance, Waiver and Consent, No. 2014042877101 […]

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Princor Financial Services Stockbroker Barred in Investigation

Rick Esparza of Rancho Murieta, California, a registered representative with Princor Financial Services Corporation, was permanently barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any and all capacities after consenting to findings that he had failed to comply with a FINRA investigation into allegations of Esparza’s participation in unauthorized loans. Letter […]

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Princor Financial Services Broker Barred In Investigation

Jack Stuart O’Brien, Jr. of San Jose, California, a registered representative with Princor Financial Services Corporation, was barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any and all capacities after consenting to findings that he failed to cooperate with FINRA’s investigation into allegations that O’Brien accepted unauthorized compensation from a firm […]

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