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 |
|---|---|---|---|---|---|---|---|---|
| Janet Louise Heitzig | 3000027 | 1 | 04/02/2012 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Michael Edward Johnson | 2472249 | 1 | 02/03/2012 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Dale Arthur Roshek | 2550576 | 1 | 02/02/2012 | Customer Dispute | Denied | $5,444.10 | $0.00 | See FINRA Report |
| John Quentin Limmex | 1899694 | 1 | 02/02/2012 | Customer Dispute | Denied | $5,444.10 | $0.00 | See FINRA Report |
| Timothy John Thoele | 2319690 | 3 | 02/01/2012 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Janet L Elliott | 5135458 | 1 | 12/13/2011 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Charlotte Marie MacKelvey | 2201473 | 4 | 12/13/2011 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| David Ray Sims | 5572258 | 1 | 07/05/2011 | Customer Dispute | Denied | $176,595.00 | $0.00 | See FINRA Report |
| Daniel Brent Lehner | 2498641 | 1 | 01/26/2011 | Customer Dispute | Denied | $13,580.80 | $0.00 | See FINRA Report |
| Mark Joseph Hughes | 1752908 | 2 | 01/12/2011 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |