Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on December 12, 2017 indicate that former Iowa-based Principal Securities broker/adviser John Krohn has received a pending customer dispute and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Hodges (CRD# 2722975).
John Krohn has spent 20 years in the securities industry and was most recently registered with Principal Securities in West Des Moines, Iowa (1996-2017). He has no previous registrations. He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on December 29, 1999; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on April 1, 1996; Series 7 (General Securities Representative Examination), which he obtained on March 20, 2009; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on March 25, 1996. He is currently not registered with any state or firm.
According to his BrokerCheck report, he has received one pending customer complaint and one denied customer complaint.
In September 2017 a customer’s husband alleged John Krohn, while employed at Principal Securities, solicited an investment in a private placement investment that was not offered by the firm. The customer is seeking $97,000 in damages in the pending complaint.
In November 2017 a customer’s husband alleged John Krohn, while employed at Princor Financial Services Corporation, recommended an unsuitable investment in a variable annuity product. The claimant sought $5,696 in damages in the complaint, which was denied.
If you or someone you know has complaints regarding John Krohn, call the experienced attorneys at Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recover lost funds. All cases are taken on contingency: we only receive payment if and when you collect money. Time to file your claim may be limited, so we suggest you avoid delay. Call 877-238-4175 now to speak to an attorney for free.