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 |
|---|---|---|---|---|---|---|---|---|
| Randy Robert Rheault | 4594132 | 1 | 11/10/2014 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Ralph Jeffrey Ulferts | 1803867 | 1 | 10/27/2014 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Brian Kenneth Davis | 4049856 | 1 | 10/21/2014 | Customer Dispute | Settled | $34,570.00 | $0.00 | See FINRA Report |
| Robert Michael Eberhardt | 2479226 | 1 | 10/08/2014 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| John Thomas Hill | 5714622 | 1 | 10/06/2014 | Customer Dispute | Settled | $5,300.00 | $0.00 | See FINRA Report |
| Scott Matthew Baxter | 2439896 | 2 | 09/30/2014 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Anne Marie Evert | 2513500 | 2 | 08/13/2014 | Customer Dispute | Settled | $543,000.00 | $0.00 | See FINRA Report |
| Marc D Turgeon | 2226243 | 1 | 07/10/2014 | Customer Dispute | Award / Judgment | $50,000.00 | $0.00 | See FINRA Report |
| Stephen Dean Roe | 1341313 | 1 | 02/17/2014 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Benjamin Trevino | 5387707 | 1 | 02/05/2014 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |