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 |
|---|---|---|---|---|---|---|---|---|
| Daniel Thomas Roy | 7285891 | 1 | 10/04/2023 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Michael Alexander Jones | 6120448 | 1 | 02/17/2022 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Tat Chan | 6829136 | 1 | 01/18/2022 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| William Edward Poindexter | 3232889 | 1 | 03/11/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| John Anderson Langley | 5504313 | 1 | 04/25/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jake A Fashner | 5368273 | 1 | 04/24/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Tyler James Olson | 6938888 | 1 | 03/07/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jeffery Dewayne Ruffin | 6619340 | 2 | 03/28/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Vu Hoang Chau | 5960097 | 1 | 05/20/2014 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Michael D Yoffee | 5603272 | 1 | 07/12/2013 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |