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 |
|---|---|---|---|---|---|---|---|---|
| Dale Duane Bartlett | 2625302 | 1 | 03/19/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael L Greene | 7085676 | 2 | 02/10/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| William Justin Nichols | 6939578 | 1 | 01/27/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Wayne Struebing | 2158429 | 1 | 11/17/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| William David Young | 6261799 | 3 | 10/28/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| William David Young | 6261799 | 3 | 05/29/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| William David Young | 6261799 | 3 | 05/29/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Markham Wall | 7409936 | 9 | 05/16/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Mercedes Grace Cole | 1926134 | 1 | 03/02/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Joel Dorhout | 6255310 | 2 | 02/26/2020 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |