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 |
|---|---|---|---|---|---|---|---|---|
| Francis David Goyette | 2556189 | 1 | 09/30/2003 | Customer Dispute | Denied | $300,000.00 | $0.00 | See FINRA Report |
| Eric Brian Truvillion | 1539762 | 1 | 06/25/2003 | Customer Dispute | Denied | $37,379.10 | $0.00 | See FINRA Report |
| Charles Michael Pires | 2339040 | 3 | 05/19/2003 | Customer Dispute | Denied | $45,000.00 | $0.00 | See FINRA Report |
| Gary L Karthauser | 1101128 | 1 | 01/06/2003 | Customer Dispute | Denied | $25,732.00 | $0.00 | See FINRA Report |
| Robert J Belman | 1711126 | 8 | 11/15/2002 | Customer Dispute | Denied | $80,000.00 | $0.00 | See FINRA Report |
| Kent D Greer | 3262609 | 1 | 10/22/2002 | Customer Dispute | Denied | $25,000.00 | $0.00 | See FINRA Report |
| Alonzo Felton Barnes | 2078002 | 1 | 10/10/2001 | Customer Dispute | Denied | $81,000.00 | $0.00 | See FINRA Report |
| Todd J Barden | 2072385 | 3 | 01/22/1998 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |