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 |
|---|---|---|---|---|---|---|---|---|
| Derek Lee Smith | 2341340 | 2 | 06/01/2009 | Customer Dispute | Denied | $5,600.00 | $0.00 | See FINRA Report |
| John Thomas Cullen | 4012906 | 1 | 04/02/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Randall Jay Malone | 1536310 | 1 | 03/04/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jeffrey David Soares | 2979117 | 1 | 03/03/2009 | Customer Dispute | Denied | $115,960.00 | $0.00 | See FINRA Report |
| Brian C Helm | 5072531 | 1 | 02/27/2009 | Customer Dispute | Denied | $16,480.10 | $0.00 | See FINRA Report |
| Douglas Ray Havel | 2250349 | 4 | 02/11/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Daniel Scott Woodham | 5193449 | 3 | 01/27/2009 | Customer Dispute | Denied | $6,000.00 | $0.00 | See FINRA Report |
| Montie David Foster | 1624510 | 2 | 01/26/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jeff Oscar Ruen | 3263131 | 1 | 12/16/2008 | Customer Dispute | Denied | $64,565.70 | $0.00 | See FINRA Report |
| Timothy John Thoele | 2319690 | 3 | 12/01/2008 | Customer Dispute | Denied | $8,409.09 | $0.00 | See FINRA Report |