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 |
|---|---|---|---|---|---|---|---|---|
| James Herbert Hoeflinger | 1973690 | 2 | 04/26/2004 | Customer Dispute | Denied | $8,177.64 | $0.00 | See FINRA Report |
| Montie David Foster | 1624510 | 2 | 04/08/2004 | Customer Dispute | Settled | $94,602.20 | $0.00 | See FINRA Report |
| Vince Edward Henzel | 2767684 | 1 | 03/22/2004 | Customer Dispute | Denied | $6,600.00 | $0.00 | See FINRA Report |
| Steven Joseph Dzvonick | 1862653 | 1 | 11/20/2003 | Customer Dispute | Denied | $6,500.00 | $0.00 | See FINRA Report |
| Jason Edward Rhodes | 2721025 | 6 | 11/12/2003 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Francis David Goyette | 2556189 | 1 | 09/30/2003 | Customer Dispute | Denied | $300,000.00 | $0.00 | See FINRA Report |
| Scott Alan Kimmel | 1707311 | 3 | 09/20/2003 | Customer Dispute | Closed-No Action | $5,006.39 | $0.00 | See FINRA Report |
| Eric Brian Truvillion | 1539762 | 1 | 06/25/2003 | Customer Dispute | Denied | $37,379.10 | $0.00 | See FINRA Report |
| Charles Michael Pires | 2339040 | 3 | 05/19/2003 | Customer Dispute | Denied | $45,000.00 | $0.00 | See FINRA Report |
| Charles Michael Pires | 2339040 | 3 | 01/15/2003 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |