Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on January 13, 2017 indicate that former California-based Principal Securities broker Steven Bohn has been terminated from his former employer and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Bohn (CRD# 4540037).
Steven Bohn has spent thirteen years in the securities industry and was most recently registered with Principal Securities in Bakersfield, California (2004-2016). He was previously registered with Edward Jones in St. Louis, Missouri (2002-2003). He is currently not registered with any state or firm.
According to his BrokerCheck report, Steven Bohn was terminated from his most recent employer in connection to alleged rule violations.
In December 2016 Steven Bohn was terminated from his position at Principal Securities in connection to the following allegations listed on his disclosure form: “RR failed to report a customer complaint timely and attempted to resolve the complaint on his own. Found that RR utilized time discretion when placing trades in attempt to resolve the complaint.”
According to FINRA rules, brokers like Simon Joseph are prohibited from “Purchasing or selling securities in a customer’s account without first contacting the customer and receiving the customer’s authorization to make the sale or purchase, unless the broker has received from the customer written discretionary authority to effect transactions in the account or the broker was given discretion as to price and time.” Brokers who exercise discretion without proper authorization may be subject to disciplinary action by FINRA or the Securities and Exchange Commission.
If you or someone you know has complaints regarding Steven Bohn, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recover lost funds. All cases are taken on a contingency basis: 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.