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 |
|---|---|---|---|---|---|---|---|---|
| Daniel S Schueren | 6746632 | 1 | 07/27/2018 | Customer Dispute | Closed-No Action | $23,500.00 | $0.00 | See FINRA Report |
| Steven Mark Handeland | 1227712 | 1 | 05/24/2018 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Kyle Robert Tatro | 5030017 | 2 | 08/16/2017 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Amin Ur Rashid | 2340958 | 1 | 12/26/2016 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Brandon Powers | 5719002 | 1 | 07/19/2016 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| James Raymond Duffy | 2857463 | 3 | 07/19/2016 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Jeffrey A Schoenekase | 2179585 | 1 | 04/15/2016 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Scott Alan Kimmel | 1707311 | 3 | 12/02/2013 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Daniel Scott Woodham | 5193449 | 3 | 08/21/2013 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Tonya Lynn Mathison | 2747110 | 1 | 07/12/2010 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |