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 |
|---|---|---|---|---|---|---|---|---|
| Verlaine MacClements | 4544908 | 1 | 04/21/2006 | Customer Dispute | Denied | $9,000.00 | $0.00 | See FINRA Report |
| Kevin Charles Collignon | 1185112 | 6 | 02/21/2006 | Customer Dispute | Denied | $178,804.00 | $0.00 | See FINRA Report |
| Richard Arthur Kroll | 2353169 | 1 | 01/30/2006 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael John Linse | 2227376 | 1 | 01/17/2006 | Customer Dispute | Denied | $7,944.00 | $0.00 | See FINRA Report |
| James Herbert Hoeflinger | 1973690 | 2 | 11/08/2005 | Customer Dispute | Denied | $12,468.20 | $0.00 | See FINRA Report |
| Jason James Renskers | 2856391 | 2 | 10/20/2005 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jason James Renskers | 2856391 | 2 | 10/19/2005 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Kurt Anthony Cecconi | 2556879 | 1 | 10/18/2005 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Ronald Bruce Merry | 1157250 | 1 | 10/04/2005 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| John William Noey | 4676895 | 3 | 06/20/2005 | Customer Dispute | Settled | $13,000.00 | $0.00 | See FINRA Report |