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 |
|---|---|---|---|---|---|---|---|---|
| Montie David Foster | 1624510 | 2 | 01/26/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jeff Oscar Ruen | 3263131 | 1 | 12/16/2008 | Customer Dispute | Denied | $64,565.70 | $0.00 | See FINRA Report |
| Timothy John Thoele | 2319690 | 3 | 12/01/2008 | Customer Dispute | Denied | $8,409.09 | $0.00 | See FINRA Report |
| Garrett Matthew Ford | 4415739 | 2 | 11/21/2008 | Customer Dispute | Denied | $41,963.30 | $0.00 | See FINRA Report |
| Scott Matthew Baxter | 2439896 | 2 | 10/28/2008 | Customer Dispute | Denied | $14,000.00 | $0.00 | See FINRA Report |
| Joshua Colben Saboe | 4910998 | 3 | 10/22/2008 | Customer Dispute | Denied | $23,000.00 | $0.00 | See FINRA Report |
| Rachel Lynn Guinn | 4123706 | 1 | 09/29/2008 | Customer Dispute | Denied | $36,278.50 | $0.00 | See FINRA Report |
| Jeffrey Phillip Dvorak | 2372602 | 2 | 07/21/2008 | Customer Dispute | Denied | $27,387.00 | $0.00 | See FINRA Report |
| Robert Joseph Grieser | 1414078 | 1 | 03/17/2008 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jason Edward Rhodes | 2721025 | 6 | 11/13/2007 | Customer Dispute | Denied | $150,000.00 | $0.00 | See FINRA Report |