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 |
|---|---|---|---|---|---|---|---|---|
| Garrett Matthew Ford | 4415739 | 2 | 11/21/2008 | Customer Dispute | Denied | $41,963.30 | $0.00 | See FINRA Report |
| Scott Matthew Baxter | 2439896 | 2 | 10/28/2008 | Customer Dispute | Denied | $14,000.00 | $0.00 | See FINRA Report |
| Ronald Domenic Piccinini | 1820618 | 1 | 10/27/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Joshua Colben Saboe | 4910998 | 3 | 10/22/2008 | Customer Dispute | Denied | $23,000.00 | $0.00 | See FINRA Report |
| Han Chen | 3111399 | 2 | 10/20/2008 | Customer Dispute | Settled | $16,237.50 | $0.00 | See FINRA Report |
| Rachel Lynn Guinn | 4123706 | 1 | 09/29/2008 | Customer Dispute | Denied | $36,278.50 | $0.00 | See FINRA Report |
| Jeffrey Phillip Dvorak | 2372602 | 2 | 07/21/2008 | Customer Dispute | Denied | $27,387.00 | $0.00 | See FINRA Report |
| Han Chen | 3111399 | 2 | 06/18/2008 | Customer Dispute | Settled | $87,036.10 | $0.00 | See FINRA Report |
| Timothy Patrick McParland | 2307788 | 2 | 03/26/2008 | Customer Dispute | Settled | $18,402.80 | $0.00 | See FINRA Report |
| Robert Joseph Grieser | 1414078 | 1 | 03/17/2008 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |