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 |
|---|---|---|---|---|---|---|---|---|
| Matthew Duane Dinville | 2877349 | 1 | 05/01/2001 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| James Jay Ganther | 2306504 | 2 | 03/15/2001 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John Timothy Madden | 1846169 | 2 | 04/08/1999 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Rodney Arthur Kjersten | 1722781 | 1 | 01/25/1999 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John Timothy Madden | 1846169 | 2 | 09/11/1997 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Charles Edward McDaniels | 1294577 | 2 | 09/18/1994 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |