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 |
|---|---|---|---|---|---|---|---|---|
| Robert Eugene Hoy | 2253839 | 1 | 03/08/2005 | Customer Dispute | Closed-No Action | $25,000.00 | $0.00 | See FINRA Report |
| Jason Edward Rhodes | 2721025 | 6 | 11/12/2003 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Scott Alan Kimmel | 1707311 | 3 | 09/20/2003 | Customer Dispute | Closed-No Action | $5,006.39 | $0.00 | See FINRA Report |