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 |
|---|---|---|---|---|---|---|---|---|
| Jason Edward Rhodes | 2721025 | 6 | 11/13/2007 | Customer Dispute | Denied | $150,000.00 | $0.00 | See FINRA Report |
| Bernadina Vankempen Williams | 2671609 | 2 | 07/30/2007 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Kevin Charles Collignon | 1185112 | 6 | 02/05/2007 | Customer Dispute | Denied | $150,000.00 | $0.00 | See FINRA Report |
| Kevin Michael Castle | 720568 | 1 | 12/08/2006 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Douglas Ray Havel | 2250349 | 4 | 12/05/2006 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Lawrence Francis Huelsman | 2212736 | 1 | 10/24/2006 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Richard Albert Long | 2098286 | 1 | 09/20/2006 | Customer Dispute | Denied | $10,608.20 | $0.00 | See FINRA Report |
| Joshua Colben Saboe | 4910998 | 3 | 07/29/2006 | Customer Dispute | Settled | $18,000.00 | $0.00 | See FINRA Report |
| Derek Lee Smith | 2341340 | 2 | 06/20/2006 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Brent David Hinerichsen | 2334218 | 1 | 04/24/2006 | Customer Dispute | Settled | $76,937.40 | $0.00 | See FINRA Report |