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 |
|---|---|---|---|---|---|---|---|---|
| Randall Jay Roethel | 1122738 | 1 | 08/29/2001 | Customer Dispute | Settled | $20,857.80 | $0.00 | See FINRA Report |
| Kevin Charles Collignon | 1185112 | 6 | 06/14/2001 | Customer Dispute | Settled | $58,000.00 | $0.00 | See FINRA Report |
| Todd J Barden | 2072385 | 3 | 05/15/2001 | Customer Dispute | Settled | $12,748.40 | $0.00 | See FINRA Report |
| Forde Darryl McWilliams | 1005942 | 2 | 03/05/2001 | Customer Dispute | Settled | $85,000.00 | $0.00 | See FINRA Report |
| Thomas Lee Takes | 2004794 | 3 | 02/01/2001 | Customer Dispute | Settled | $10,000.00 | $0.00 | See FINRA Report |
| Charles Michael Pires | 2339040 | 3 | 12/15/2000 | Customer Dispute | Settled | $865,000.00 | $0.00 | See FINRA Report |
| Cherry Haney Fishburne | 2637123 | 1 | 11/20/2000 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| James Andrew Desmond | 1513201 | 1 | 08/24/2000 | Customer Dispute | Settled | $18,502.00 | $0.00 | See FINRA Report |
| Roger Goren | 1094473 | 3 | 06/13/2000 | Customer Dispute | Settled | $35,000,000.00 | $0.00 | See FINRA Report |
| Michael Keith McDonough | 1511844 | 3 | 09/23/1999 | Customer Dispute | Settled | $44,000.00 | $0.00 | See FINRA Report |