Principal Securities Broker John Priebe Involved In Investors' Suitability Disputes Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) reports alarming information in regard to John Patrick Priebe Jr. [CRD#: 4389063, Waseca, Minnesota]. Not only has Principal Securities disaffiliated with the securities broker for potential sales practice violations, but at least three clients indicated that Priebe […]

Edgar Allen Thomas (CRD #2231242, Registered Principal, Winter Haven, Florida) was fined $5,000 and suspended from association with any FINRA member in any principal capacity for 10 business days. Without admitting or denying FINRA's findings, Thomas consented to the described sanctions and to the entry of findings that he failed to reasonably supervise a registered […]