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Princor Financial Services Investment Attorney

The investment lawyers of Gana Weinstein LLP represent individuals and institutional securities claims against their brokerage firms, such as Princor Financial Services Corp. (Princor). Securities related misconduct covers a many different possible issues that can occur in the securities industry that violate various industry standards and include various types of securities frauds and manipulations, unsuitable and inappropriate investment advice, and failure to properly review new investment products. Our lawyers can analyze your account statements to uncover evidence of firm misconduct in the handling of your accounts.

Principal Financial Group is a global financial services company located in Des Moines, Iowa and is the holding company for Princor. Principal Financial Group provides a range of financial services including retirement planning, insurance, and investment and banking products in 18 countries. As of 2012, Principal Financial Group served 17.3 million customers worldwide.

Princor is affiliated with, under common control, or otherwise performs business under the company names BLC Equity Services Corporation, and Principal Financial Services Corporation.

Princor – By the Numbers:
  • CRD# 1137
  • SEC# 8-13875
  • 2 Regulatory Events
  • 2 Customer Complaints
  • Revenue: $242 million – 2012
  • Assets Under Management: $6 billion
  • Total Client Accounts: 74,782 - 2012
  • Representatives: 2,283 - 2012
Princor – In the News:

FINRA v. Timothy William Stephens, AWC No. 2013036091101 - The Financial Industry Regulatory Authority (FINRA) barred broker Timothy William Stephens concerning allegations that the broker was involved in $8 million in improper Equity Indexed Annuities (EIA) sales. Stephens entered the industry in 1987 with Princor Financial Services Corporation, where he remained until February 2013. FINRA alleged that between July 2006 and November 2012, Stephens sold about $8.2 million worth of EIAs and that these sales constituted outside business activity (OBA). According to FINRA, Princor’s written procedures required its representatives to disclose OBA and obtain the firm’s permission prior to selling securities and that Stephens allegedly failed to comply with those requirements.

Gana Weinstein LLP has successfully handled hundreds of customer investment disputes with their brokerage firms. Our attorneys can help you detect and uncover suspicious activity in your

Client Reviews
Thank you Adam and all your colleagues for the professionalism and diligence in the final settlement of our securities fraud case. When a past law firm group turned our case down, you and your firm took on the case and we thank you for the great outcome. We would highly recommend your firm. Gloria K.
I will never forget how much you helped me by winning my case! I never thought I would see any money from my investment. I admire the way you fight for everyday people against big companies. Thank you so much! Myra W.
Adam is an outstanding lawyer. I have worked on several cases with Adam and look forward to working with him again in the future. Rob D. - Co-Counsel.
If you want an attorney that is easy to talk to and genuinely cares about your legal situation, contact Adam Gana. He helped me settle a difficult contract dispute. When you work with Adam, he makes you feel as if you are his top priority. He will call you regularly to stay on top of the situation and submits all necessary legal documentation in a timely manner. His writing is excellent, his demeanor professional, and his work exceptional. Nancy N.
Adam helped me recover money from my broker when I thought all was lost. My house was about to be foreclosed, and I lost everything. Adam came in and saved my life. Jean C.