John Patrick Priebe of Waseca Minnesota a stockbroker formerly associated with Principal Securities Inc. has been discharged on October 28, 2019 supported by concerns that Priebe had engaged in bad sales practices relating to mutual fund and variable annuity products and that Priebe failed to provide information to Principal Securities regarding his involvement in those…
Alex Ernesto Batlle, of San Francisco, California, a stockbroker formerly registered with Princor Securities, Inc., has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon his failure to communicate with FINRA staff in reference to his business activities. Letter No. 2015047755401 (May. 25, 2016). FINRA Public Disclosure…