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 |
|---|---|---|---|---|---|---|---|---|
| Charles Edward McDaniels | 1294577 | 2 | 05/31/2005 | Customer Dispute | Denied | $14,463.80 | $0.00 | See FINRA Report |
| Tatyana Malkis | 2993856 | 1 | 03/03/2005 | Customer Dispute | Denied | $11,327.00 | $0.00 | See FINRA Report |
| Kevin Charles Collignon | 1185112 | 6 | 02/28/2005 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Jason Edward Rhodes | 2721025 | 6 | 02/18/2005 | Customer Dispute | Denied | $30,000.00 | $0.00 | See FINRA Report |
| Dominic Frank Pellicano | 2295072 | 2 | 09/07/2004 | Customer Dispute | Denied | $13,985.00 | $0.00 | See FINRA Report |
| Christopher Warren Bibow | 3103035 | 2 | 08/05/2004 | Customer Dispute | Denied | $6,875.00 | $0.00 | See FINRA Report |
| Timothy John Thoele | 2319690 | 3 | 08/02/2004 | Customer Dispute | Denied | $92,000.00 | $0.00 | See FINRA Report |
| James Herbert Hoeflinger | 1973690 | 2 | 04/26/2004 | Customer Dispute | Denied | $8,177.64 | $0.00 | See FINRA Report |
| Vince Edward Henzel | 2767684 | 1 | 03/22/2004 | Customer Dispute | Denied | $6,600.00 | $0.00 | See FINRA Report |
| Steven Joseph Dzvonick | 1862653 | 1 | 11/20/2003 | Customer Dispute | Denied | $6,500.00 | $0.00 | See FINRA Report |