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 |
|---|---|---|---|---|---|---|---|---|
| Victor S Yedid | 2632688 | 1 | 07/26/2024 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Dorothy Marie Therese Welsch | 5661074 | 1 | 01/12/2024 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Duncan Ian Radcliffe | 4403412 | 1 | 09/21/2023 | Customer Dispute | Denied | $8,000.00 | $0.00 | See FINRA Report |
| Matthew Gordon Clark | 1319815 | 1 | 07/07/2023 | Customer Dispute | Settled | $68,000.00 | $0.00 | See FINRA Report |
| Judson Richard Miller | 5712338 | 1 | 04/19/2023 | Customer Dispute | Final | $0.00 | $0.00 | See FINRA Report |
| Randolph Cleveland Archer | 1517565 | 1 | 02/06/2023 | Customer Dispute | Denied | $13,192.40 | $0.00 | See FINRA Report |
| Michael Liguori | 2025717 | 2 | 09/26/2022 | Customer Dispute | Denied | $14,003.80 | $0.00 | See FINRA Report |
| John S Malhotra | 6281847 | 1 | 06/27/2022 | Customer Dispute | Denied | $13,516.00 | $0.00 | See FINRA Report |
| William Matthew Schumaker | 6485048 | 1 | 04/13/2022 | Customer Dispute | Settled | $7,447.50 | $0.00 | See FINRA Report |
| Philip Jordan Olstein | 1303035 | 2 | 01/21/2022 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |