Scott Alan Kimmel of Fort Worth Texas a stockbroker currently employed by Principal Securities Inc. is the subject of a customer initiated investment related arbitration claim where the customer alleged that Kimmel breached a fiduciary duty owed to the customer in reference to an employer stock options plan investment allocation. Financial Industry Regulatory Authority (FINRA) […]
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Tag Archives: Scott Alan Kimmel
Principal Securities Sued For Breach Of Fiduciary Duty
November 03, 2018 | Posted by : Guiliano Law Group | Failure to Execute, Investment and Regulatory News, Securities Arbitration Claims | 0 Comments