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 |
|---|---|---|---|---|---|---|---|---|
| Andrew Vandehey | 5973494 | 1 | 01/24/2007 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Timothy Gish | 5841849 | 2 | 01/10/2007 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Clayton Gaulden | 6976665 | 2 | 10/17/2006 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Aaron Ruen | 6431558 | 1 | 07/03/2006 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James V Lauro | 3056870 | 1 | 05/16/2005 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jason Michael Peed | 7792540 | 1 | 05/10/2005 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Marc A Cianciolo | 6852809 | 1 | 03/25/2005 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Joseph T Zidon | 7193233 | 1 | 05/10/2004 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Robert Rae Howell | 2544035 | 5 | 02/12/2004 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jessica Marie Downs | 5404824 | 1 | 02/04/2004 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |