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 |
|---|---|---|---|---|---|---|---|---|
| Stephen Martin Roeder | 1635329 | 1 | 01/04/2023 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Gary B Gross | 2474716 | 2 | 11/04/2022 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |
| Judson Richard Miller | 5712338 | 1 | 08/08/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| David McNeilly | 6137277 | 1 | 07/31/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Richard John Carroll | 4972371 | 1 | 07/28/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| John S Malhotra | 6281847 | 1 | 06/27/2022 | Customer Dispute | Denied | $13,516.00 | $0.00 | See FINRA Report |
| Michael Vincent Hunt | 2400633 | 1 | 06/02/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Benny E Burison | 5216793 | 1 | 05/02/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Donald Terry | 2021611 | 1 | 04/21/2022 | Customer Dispute | Denied | $5,504.92 | $0.00 | See FINRA Report |
| William Matthew Schumaker | 6485048 | 1 | 04/13/2022 | Customer Dispute | Settled | $7,447.50 | $0.00 | See FINRA Report |