Our Staff has compiled our research into a database of FINRA Broker Disclosures for Principal Securities, Inc.. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Haley Beckwith Drake | 6904639 | 2 | 08/16/2024 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Tod David Ross | 4491814 | 2 | 08/12/2024 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Victor S Yedid | 2632688 | 1 | 07/26/2024 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Michael Liguori | 2025717 | 2 | 07/01/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jeffrey Earl Harvey | 4922100 | 1 | 04/29/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Haley Beckwith Drake | 6904639 | 2 | 04/10/2024 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Sara Mills-Gaines | 5479702 | 5 | 03/21/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jeffery Dewayne Ruffin | 6619340 | 2 | 02/26/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Timothy Craig Flanagan | 7349518 | 3 | 02/07/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Dorothy Marie Therese Welsch | 5661074 | 1 | 01/12/2024 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |