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FINRA Awards for Principal Financial Group

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Case Number Award Date Case Summary Customer Case? Amount Granted
22-0162503/15/2023Claimant(s): Lawrence Ford
Claimant Lawyers(s): La Verne C. Simmons
Respondent(s): Pershing LLC, Principal Securities., Principal Financial Group
Respondent Lawyers(s): Kathryn R. Eldridge
Arbitrator(s): William W. Haskell, David I. Levine, Michael D. Briggs
Hearing Site: San Francisco, CA
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10-0455705/07/2012Claimant(s): Lon R. Melton
Claimant Lawyers(s): Lon R. Melton
Respondent(s): Princor Financial Services Corp, Principal Financial Group
Respondent Lawyers(s): Corporate Officer, Traci Weldon
Arbitrator(s):
Hearing Site: Phoenix, AZ
10-0581504/18/2012Claimant(s): Richard Greene
Claimant Lawyers(s): Lawrence E. Skidmore
Respondent(s): Azlina Harun, Linnajo Dombroski, Principal Life Insurance Company, Princor Financial Services Corporation, Principal Financial Group
Respondent Lawyers(s): Charles E. Coleman, Linnajo Dombroski, Sheena Jain
Arbitrator(s): Michelle Judy Brant, Jerold R. Babin, Jeffrey M. Allen
Hearing Site: San Francisco, CA

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