DALE BARTON SAILORS is currently employed as a Broker and/or Investment Adviser at PRINCIPAL SECURITIES, INC. located at 5710 HOWE LN, LARAMIE, WY, 82070.
DALE BARTON SAILORS has worked at PRINCIPAL SECURITIES, INC. since September 05, 2003
Disclosure History
DALE BARTON SAILORS has 2 Disclosure Event(s).
Date: November 19, 2015 Category: Customer Dispute Allegations: Client is unhappy with the performance of their VUL policy. Client's Initial rollover was placed in money market at their request. RR waiting for further direction on allocation; unable to make contact with the client for direction on final allocation. Client wanted to study the alternatives and never determined the investment allocation thus money remained in the money market. Broker Comment: Initial fund transfer was to money market for the client to study the fund alternatives and was unable to make contact to allocate.
Date: November 11, 2003 Category: Customer Dispute Allegations: CLIENT ALLEGED DID NOT MAKE FREQUENT AND MARKET TIMELY BUY/SELL TRANSACTIONS IN HIS VARIABLE LIFE POLICY. Damage Amount Requested: $18,000.00 Broker Comment: ADVISORS DO NOT HAVE DISCRETION ON THE ACCOUNTS OF CLIENTS. CLIENT MUST INITIATE TRADES.
More Information
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