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 |
|---|---|---|---|---|---|---|---|---|
| Jeffrey Joel Dorhout | 6255310 | 2 | 07/21/2013 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Diamond Allen | 7623250 | 1 | 10/25/2012 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John William Noey | 4676895 | 3 | 10/03/2012 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Angel Love | 6825113 | 1 | 01/29/2011 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Nauj Gamal Arguello | 6906093 | 1 | 10/22/2010 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Shaun Michael Dalton | 1739289 | 1 | 03/25/2010 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jonathan Paul Pipho | 2926508 | 1 | 07/31/2009 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Christopher Michael Jones | 6445014 | 1 | 02/11/2009 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Timothy Gish | 5841849 | 2 | 07/14/2007 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Clayton Gaulden | 6976665 | 2 | 05/26/2007 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |