Stephen Martin Roeder (CRD#1635329) and PRINCIPAL SECURITIES, INC.

The Securities Lawyers at Halling & Cayo, S.C. are looking into potential claims against Stephen Martin Roeder (CRD#1635329) regarding allegations made regarding the following:

Claim(s) Made Against Stephen Martin Roeder:

Claim Date: 12/28/2022

“Client alleges RR did not explain that premiums could increase over time in a variable insurance policy sold in 1989.”

This claim is currently Pending.

See more information on FINRA’s BrokerCheck site for Stephen Martin Roeder.

Did you have a negative experience with Stephen Martin Roeder?

If you had a negative experience or issue with Stephen Martin Roeder and PRINCIPAL SECURITIES, INC. from COLUMBUS, OH, the Securities Lawyers at Halling & Cayo, S.C. may be able to help you. Brokerage firms have a duty to supervise all registered representatives, such as Stephen Martin Roeder, and ensure that they follow all securities rules and regulations and internal policies. If a brokerage firm fails to do so, it may be held liable for investment losses sustained by customers.

The Securities Lawyers have recovered millions of dollars for investors across the United States and are currently investigating the possibility of representing individual or group investors who have suffered losses. If you were a customer of Stephen Martin Roeder and PRINCIPAL SECURITIES, INC. and suffered investment losses, please contact the Securities Lawyers. We will only receive payment if we are able to recover your money, and you may be eligible for financial compensation. It’s important to note that there may be time limits or statutes of limitations that apply to your claim, so it’s crucial to speak with an attorney as soon as possible.

Contact The Securities Lawyers


Sean M. Sweeney is a shareholder at Halling and Cayo, a full service law firm in Milwaukee, WI and the head of its Securities Litigation team.

He represents individual and institutional investors in FINRA arbitration and court nationwide. He recovers investment losses from fraud or breach of duty from their broker-dealer.

Contact him at (414) 755-5020 or via e-mail at to see if he can help recover funds.