RONALD BRUCE MERRY

RONALD BRUCE MERRY is currently employed as a Broker and/or Investment Adviser at PRINCIPAL SECURITIES, INC. located at 100 FIRST AVE N, STE 1, GREAT FALLS, MT, 59403.

RONALD BRUCE MERRY has worked at PRINCIPAL SECURITIES, INC. since October 11, 1983

Disclosure History

RONALD BRUCE MERRY has 1 Disclosure Event(s).

Date: October 04, 2005
Category: Customer Dispute
Allegations: ON AUG. 17, 2005 CLIENTS WHO ARE ALL RELATED FILED FOR LIFE INSURANCE DEATH BENEFITS & IRA DEATH BENEFITS. ALLEGED ALLOCATIONS STATED A CONCERN FOR A PORTION OF THE SALES CHARGES OF MONEY THAT WAS NEEDED FOR IMMEDIATE USE. DAMAGES WERE NOT SPECIFIED.
Settlement Amount: $818.13

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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