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 |
|---|---|---|---|---|---|---|---|---|
| Adam J Brophy | 5102973 | 1 | 02/05/2014 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Daniel Roy John Buehrle | 4580417 | 1 | 02/05/2014 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Scott Alan Kimmel | 1707311 | 3 | 12/02/2013 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Daniel Scott Woodham | 5193449 | 3 | 08/21/2013 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Conrad Russell Beeler | 5975466 | 2 | 04/11/2013 | Customer Dispute | Settled | $13,567.00 | $0.00 | See FINRA Report |
| Jason Edward Rhodes | 2721025 | 6 | 02/05/2013 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| James Michael Brock | 4919273 | 1 | 01/09/2013 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Ernest William Dison | 2693382 | 1 | 11/19/2012 | Customer Dispute | Denied | $10,814.90 | $0.00 | See FINRA Report |
| Thomas Lee Takes | 2004794 | 3 | 09/24/2012 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Andrew Mark Albers | 5701013 | 1 | 04/05/2012 | Customer Dispute | Denied | $5,113.67 | $0.00 | See FINRA Report |