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 |
|---|---|---|---|---|---|---|---|---|
| Mathew David Driscoll | 4425889 | 1 | 07/21/2016 | Civil | Pending | $0.00 | $0.00 | See FINRA Report |
| Mark Perry Lake | 2743754 | 1 | 01/12/2016 | Civil | Pending | $0.00 | $0.00 | See FINRA Report |
| Scott Joseph Powhida | 4218977 | 2 | 04/22/2014 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| David Aaron Norris | 5763635 | 1 | 03/05/2013 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Salvatore Joseph Durso | 1026014 | 4 | 03/05/2013 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Conrad Russell Beeler | 5975466 | 2 | 03/05/2013 | Civil | Final | $0.00 | $0.00 | See FINRA Report |