Tag Archives: Robert Holmes Gunning

Principal Terminates Broker After Excessive Trading Probe

May 17, 2018  |   Posted by :   |   Excessive Trading, Investment and Regulatory News   |   0 Comments

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 […]

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