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 |
|---|---|---|---|---|---|---|---|---|
| Marc D Turgeon | 2226243 | 1 | 07/10/2014 | Customer Dispute | Award / Judgment | $50,000.00 | $0.00 | See FINRA Report |
| Richard Dodd Hammond | 2753264 | 2 | 08/22/2006 | Customer Dispute | Award / Judgment | $100,000.00 | $50,000.00 | See FINRA Report |
| Richard Dodd Hammond | 2753264 | 2 | 08/04/2006 | Customer Dispute | Award / Judgment | $300,000.00 | $71,902.50 | See FINRA Report |
| Michael Keith McDonough | 1511844 | 3 | 06/02/1993 | Customer Dispute | Award / Judgment | $0.00 | $10,150.00 | See FINRA Report |
| Forde Darryl McWilliams | 1005942 | 2 | 10/05/1990 | Customer Dispute | Award / Judgment | $75,000.00 | $51,848.70 | See FINRA Report |