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 |
|---|---|---|---|---|---|---|---|---|
| Bradley Benjamin Pull | 2697946 | 1 | 01/05/2011 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Norbert Lee Bissmeyer | 2904767 | 1 | 11/18/2010 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Kendall Scott Kruger | 2918174 | 2 | 11/08/2010 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Clark Reaney Anderson | 1354226 | 1 | 10/27/2010 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Bernadina Vankempen Williams | 2671609 | 2 | 10/15/2010 | Customer Dispute | Denied | $6,340.00 | $0.00 | See FINRA Report |
| Mark Robert Schneider | 1893502 | 2 | 10/08/2010 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Tonya Lynn Mathison | 2747110 | 1 | 07/12/2010 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Roberto Antonio Rodriguez | 4195742 | 2 | 06/25/2010 | Customer Dispute | Closed-No Action | $17,935.90 | $0.00 | See FINRA Report |
| Salvatore Joseph Durso | 1026014 | 4 | 05/12/2010 | Customer Dispute | Settled | $4,200,000.00 | $0.00 | See FINRA Report |
| Anne Marie Evert | 2513500 | 2 | 05/10/2010 | Customer Dispute | Denied | $30,000.00 | $0.00 | See FINRA Report |