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 |
---|---|---|---|---|---|---|---|---|
Dorothy Marie Therese Welsch | 5661074 | 1 | 01/12/2024 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
Duncan Ian Radcliffe | 4403412 | 1 | 09/21/2023 | Customer Dispute | Denied | $8,000.00 | $0.00 | See FINRA Report |
Randolph Cleveland Archer | 1517565 | 1 | 02/06/2023 | Customer Dispute | Denied | $13,192.40 | $0.00 | See FINRA Report |
Michael Liguori | 2025717 | 2 | 09/26/2022 | Customer Dispute | Denied | $14,003.80 | $0.00 | See FINRA Report |
John S Malhotra | 6281847 | 1 | 06/27/2022 | Customer Dispute | Denied | $13,516.00 | $0.00 | See FINRA Report |
Page Grant Pittman | 5640735 | 1 | 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 |
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 |
Robert John Imper | 6265033 | 1 | 05/17/2017 | Customer Dispute | Denied | $128,395.00 | $0.00 | See FINRA Report |