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 |
|---|---|---|---|---|---|---|---|---|
| Ralph Jeffrey Ulferts | 1803867 | 1 | 10/27/2014 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Robert Michael Eberhardt | 2479226 | 1 | 10/08/2014 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Scott Matthew Baxter | 2439896 | 2 | 09/30/2014 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jason Edward Rhodes | 2721025 | 6 | 02/05/2013 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Ernest William Dison | 2693382 | 1 | 11/19/2012 | Customer Dispute | Denied | $10,814.90 | $0.00 | See FINRA Report |
| Thomas Lee Takes | 2004794 | 3 | 09/24/2012 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Andrew Mark Albers | 5701013 | 1 | 04/05/2012 | Customer Dispute | Denied | $5,113.67 | $0.00 | See FINRA Report |
| 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 |