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 |
|---|---|---|---|---|---|---|---|---|
| Mark Robert Schneider | 1893502 | 2 | 10/08/2010 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Anne Marie Evert | 2513500 | 2 | 05/10/2010 | Customer Dispute | Denied | $30,000.00 | $0.00 | See FINRA Report |
| Scott Joseph Powhida | 4218977 | 2 | 05/06/2010 | Customer Dispute | Denied | $10,393.00 | $0.00 | See FINRA Report |
| Murry Resler | 2954207 | 5 | 06/30/2009 | Customer Dispute | Denied | $271,098.00 | $0.00 | See FINRA Report |
| Derek Lee Smith | 2341340 | 2 | 06/01/2009 | Customer Dispute | Denied | $5,600.00 | $0.00 | See FINRA Report |
| John Thomas Cullen | 4012906 | 1 | 04/02/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jeffrey David Soares | 2979117 | 1 | 03/03/2009 | Customer Dispute | Denied | $115,960.00 | $0.00 | See FINRA Report |
| Brian C Helm | 5072531 | 1 | 02/27/2009 | Customer Dispute | Denied | $16,480.10 | $0.00 | See FINRA Report |
| Douglas Ray Havel | 2250349 | 4 | 02/11/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Daniel Scott Woodham | 5193449 | 3 | 01/27/2009 | Customer Dispute | Denied | $6,000.00 | $0.00 | See FINRA Report |