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Reporting Unethical or Fraudulent Activity

As a leader in the financial services industry, we take seriously our obligation to customers and our global communities to conduct business in a legal and ethical manner. This ranges from protecting our customers from increased costs associated with fraudulent activities to conducting ourselves in a manner that enhances public trust and confidence in the Principal Financial Group® and the financial services industry.

No company is immune from the risk of unethical conduct or fraudulent activity. In accordance with state and federal laws and regulations, it is our responsibility to take appropriate action when these situations are suspected or may occur. Our company does not tolerate, and takes aggressive action against, unethical conduct or fraud whether perpetrated by employees, customers, vendors, those who sell our products or others.

If you are aware of a situation of suspected fraud, criminal activity, ethical concerns or questionable business practices affecting you and any of the companies of the Principal Financial Group, complete our report form (below), or call us at 1.866.858.4433. Please provide as much information as you feel comfortable sharing or you can remain anonymous. If your situation does not pertain to the Principal Financial Group, you should report your concerns to the fraud unit of the entity involved.

Unethical or fraudulent activity reporting form

This system is appropriate for reporting suspected unethical or fraudulent activities relating to employees of our company or actions by our company. However, there are other resources available that would be more appropriate, depending on the nature of your referral:

Attention Retirement Plan Customers: If you are a participant in an employer sponsored Plan and have customer service questions regarding loans, withdrawals/distributions, taxes/1099Rs, contribution timing or other plan-related issues (that do not relate to fraudulent or unethical activities), please contact our Client Contact Center at 1.800.547.7754.

Attention Group Dental or Vision Customers: If you have questions that do not relate to suspected fraudulent or unethical activities, such as payment of a claim, unauthorized dental or vision charges, or an explanation of benefit (EOB), please contact the number on the upper right hand corner of your EOB.

Sweepstakes, Lottery and loan Scams: We recommend that you report these situations to your local Attorney General's office. Please also review our posted alerts.

Have a question? Call us at 1.800.986.3343

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