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 Gordon Clark | 1319815 | 1 | 07/07/2023 | Customer Dispute | Settled | $68,000.00 | $0.00 | See FINRA Report |
| William Matthew Schumaker | 6485048 | 1 | 04/13/2022 | Customer Dispute | Settled | $7,447.50 | $0.00 | See FINRA Report |
| Bryan Gregory Fiala | 5777706 | 1 | 12/23/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Phillip Dvorak | 2372602 | 2 | 04/23/2020 | Customer Dispute | Settled | $85,166.70 | $0.00 | See FINRA Report |
| Jerome Sanders | 5962247 | 1 | 10/01/2019 | Customer Dispute | Settled | $6,806.00 | $0.00 | See FINRA Report |
| Robert Lee Crandall | 1205201 | 1 | 07/22/2019 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Clint David Hinderaker | 4819652 | 2 | 03/05/2019 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Dennis John Holland | 1186824 | 1 | 02/13/2019 | Customer Dispute | Settled | $61,397.60 | $0.00 | See FINRA Report |
| Douglas Ray Havel | 2250349 | 4 | 12/11/2018 | Customer Dispute | Settled | $6,866.94 | $0.00 | See FINRA Report |
| Douglas Ray Havel | 2250349 | 4 | 10/23/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |