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 |
|---|---|---|---|---|---|---|---|---|
| Douglas Ray Havel | 2250349 | 4 | 10/23/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael Roland Caron | 1282414 | 1 | 09/07/2018 | Customer Dispute | Denied | $20,000.00 | $0.00 | See FINRA Report |
| Scott Alan Kimmel | 1707311 | 3 | 08/28/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Daniel S Schueren | 6746632 | 1 | 07/27/2018 | Customer Dispute | Closed-No Action | $23,500.00 | $0.00 | See FINRA Report |
| Steven Mark Handeland | 1227712 | 1 | 05/24/2018 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Mark Robert Schneider | 1893502 | 2 | 04/09/2018 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Matthew Robert Sunde | 3024824 | 1 | 03/27/2018 | Customer Dispute | Settled | $25,173.00 | $0.00 | See FINRA Report |
| David M Bellia | 2594455 | 1 | 05/22/2017 | Customer Dispute | Settled | $190,000.00 | $0.00 | See FINRA Report |
| Robert John Imper | 6265033 | 1 | 05/17/2017 | Customer Dispute | Denied | $128,395.00 | $0.00 | See FINRA Report |
| Daniel Scott Woodham | 5193449 | 3 | 05/11/2017 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |