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 |
|---|---|---|---|---|---|---|---|---|
| Stephen Martin Roeder | 1635329 | 1 | 01/04/2023 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Judson Richard Miller | 5712338 | 1 | 08/08/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| John S Malhotra | 6281847 | 1 | 06/27/2022 | Customer Dispute | Denied | $13,516.00 | $0.00 | See FINRA Report |
| Michael Vincent Hunt | 2400633 | 1 | 06/02/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Donald Terry | 2021611 | 1 | 04/21/2022 | Customer Dispute | Denied | $5,504.92 | $0.00 | See FINRA Report |
| Page Grant Pittman | 5640735 | 2 | 05/09/2019 | Customer Dispute | Denied | $30,805.00 | $0.00 | See FINRA Report |
| Jacob Ryan Jewell | 6364490 | 1 | 05/08/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Paul McNaney | 4640776 | 1 | 02/20/2019 | Customer Dispute | Denied | $27,000.00 | $0.00 | See FINRA Report |
| Michael Roland Caron | 1282414 | 1 | 09/07/2018 | Customer Dispute | Denied | $20,000.00 | $0.00 | See FINRA Report |
| Mark Robert Schneider | 1893502 | 2 | 04/09/2018 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |