Tag Archives: Robert Barnard

Principal Stockbroker Barred In Unauthorized Trading Investigation

November 04, 2020  |   Posted by :   |   Securities Arbitration Claims, Unauthorized Trading   |   Comments Off on Principal Stockbroker Barred In Unauthorized Trading Investigation

Robert Barnard of Las Cruces New Mexico a stockbroker formerly registered with Principal Securities Inc. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that Barnard did not comply with FINRA’s instructions when he was under investigation for effecting unauthorized transactions while associated with Principal […]

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