RORIC EUGENE GRIFFITH is currently employed as a Broker and/or Investment Adviser at PRINCIPAL SECURITIES, INC. located at 10200 W Innovation Dr, Ste 800, Milwaukee, WI, 53226.
RORIC EUGENE GRIFFITH has worked at PRINCIPAL SECURITIES, INC. since May 12, 2005
Disclosure History
RORIC EUGENE GRIFFITH has 4 Disclosure Event(s).
Date: June 26, 2013 Category: Regulatory
Date: October 22, 2009 Category: Regulatory Initiated By: WISCONSIN Allegations: DELINQUENT FOR WI STATE TAXES Resolution: NOTICE OF REVOCATION SanctionDetails: Sanctions: Revocation Broker Comment: I RECEIVED A NOTICE IN EARLY OCTOBER AND ATTEMPTED TO COMPLY IMMEDIATELY. I RECEIVED NO COMMUNICATION NOTING THIS WAS STILL OUTSTANDING UNTIL YESTERDAY, 11/23/09. I IMMEDIATELY CONTACTED THE STATE AND WAS COMPLIANT WITHIN 20 HOURS OF NOTIFICATION.
Date: September 10, 2009 Category: Customer Dispute Allegations: INVESTMENT ALLOCATION AND STRATEGY REQUIRED FEATURES OF 401K THAT WERE NOT ALLOWED TO TAKE ADVANTAGE OF AGE 55 SEPARATION RULES. ALLOCATION NOT INVESTED WITH MARKET ORDERS. JULY 2009. Settlement Amount: $100,000.00
Date: July 14, 2001 Category: Customer Dispute Allegations: CLIENT ALLEGES HER PORTFOLIO HAS BEEN SCREWED UP BY FALSE PROMISES, NEGLIGENCE AND GREED AND REQUESTS HER ACCOUNT BE MADE WHOLE. Damage Amount Requested: $9,000.00
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