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 |
|---|---|---|---|---|---|---|---|---|
| Scott Joseph Powhida | 4218977 | 2 | 05/06/2010 | Customer Dispute | Denied | $10,393.00 | $0.00 | See FINRA Report |
| Lance Edward Hennesay | 4357563 | 1 | 03/24/2010 | Customer Dispute | Settled | $60,000.00 | $0.00 | See FINRA Report |
| Nicholas Ricci | 2957318 | 1 | 03/09/2010 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Todd J Barden | 2072385 | 3 | 03/09/2010 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Robert Gerard Burmeister | 2415334 | 1 | 02/10/2010 | Customer Dispute | Settled | $429,250.00 | $0.00 | See FINRA Report |
| Kendall Scott Kruger | 2918174 | 2 | 02/10/2010 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Joel E Brotherton | 4749839 | 1 | 08/05/2009 | Customer Dispute | Settled | $526,218.00 | $0.00 | See FINRA Report |
| Murry Resler | 2954207 | 5 | 06/30/2009 | Customer Dispute | Denied | $271,098.00 | $0.00 | See FINRA Report |
| Roberto Antonio Rodriguez | 4195742 | 2 | 06/17/2009 | Customer Dispute | Settled | $34,000.00 | $0.00 | See FINRA Report |
| David A Lookadoo | 4567298 | 1 | 06/04/2009 | Customer Dispute | Settled | $52,433.00 | $0.00 | See FINRA Report |