SEC
Whistleblower
Attorneys

March 11, 2019

Principal Securities Inc.

Trading and Pricing

SANCTION AMOUNT: 1764624.26

Defendants: Principal Securities Inc.

Settled charges that Respondent failed to adequately disclose conflicts of interest related to the sale of higher-cost mutual fund share classes that charged 12b-1 fees, when a lower-cost share class was available. The Respondent self-reported the potential violations.

Named one of the top whistleblower practices/attorneys in the country by The New York Times, Wall Street Journal and NPR
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