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 |
|---|---|---|---|---|---|---|---|---|
| Stephen Martin Roeder | 1635329 | 1 | 01/04/2023 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Judson Richard Miller | 5712338 | 1 | 08/08/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| John S Malhotra | 6281847 | 1 | 06/27/2022 | Customer Dispute | Denied | $13,516.00 | $0.00 | See FINRA Report |
| Michael Vincent Hunt | 2400633 | 1 | 06/02/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Donald Terry | 2021611 | 1 | 04/21/2022 | Customer Dispute | Denied | $5,504.92 | $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| Philip Jordan Olstein | 1303035 | 2 | 01/21/2022 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Robert McCarey | 5490728 | 1 | 05/10/2021 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Bryan Gregory Fiala | 5777706 | 1 | 12/23/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Phillip Dvorak | 2372602 | 2 | 04/23/2020 | Customer Dispute | Settled | $85,166.70 | $0.00 | See FINRA Report |