Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Ganther (Ganther), currently associated with Principal Securities, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Ganther recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on January 31, 2025.
The clients allege that they were not made aware that by annuitizing the variable annuity contracts that their income would increase and cause additional tax obligations.
