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FINRA Broker Disclosures for Principal Securities, Inc.

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.

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Displaying 10 out of 88 results
Name CRD Total Disclosures Filing Date Disclosure Type Disclosure Status Damages Requested Damages Granted FINRA Reports
Dorothy Marie Therese Welsch5661074101/12/2024Customer DisputeDenied$0.00$0.00See FINRA Report
Duncan Ian Radcliffe4403412109/21/2023Customer DisputeDenied$8,000.00$0.00See FINRA Report
Randolph Cleveland Archer1517565102/06/2023Customer DisputeDenied$13,192.40$0.00See FINRA Report
Michael Liguori2025717209/26/2022Customer DisputeDenied$14,003.80$0.00See FINRA Report
John S Malhotra6281847106/27/2022Customer DisputeDenied$13,516.00$0.00See FINRA Report
Page Grant Pittman5640735105/09/2019Customer DisputeDenied$30,805.00$0.00See FINRA Report
Jacob Ryan Jewell6364490105/08/2019Customer DisputeDenied$0.00$0.00See FINRA Report
Michael Roland Caron1282414109/07/2018Customer DisputeDenied$20,000.00$0.00See FINRA Report
Mark Robert Schneider1893502204/09/2018Customer DisputeDenied$0.00$0.00See FINRA Report
Robert John Imper6265033105/17/2017Customer DisputeDenied$128,395.00$0.00See FINRA Report

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