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 |
|---|---|---|---|---|---|---|---|---|
| Scott Alan Kimmel | 1707311 | 3 | 08/28/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Matthew Robert Sunde | 3024824 | 1 | 03/27/2018 | Customer Dispute | Settled | $25,173.00 | $0.00 | See FINRA Report |
| David M Bellia | 2594455 | 1 | 05/22/2017 | Customer Dispute | Settled | $190,000.00 | $0.00 | See FINRA Report |
| Rick Lynn Bower | 5315073 | 1 | 03/22/2017 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Vivia Cristal Strome | 5897934 | 1 | 10/12/2016 | Customer Dispute | Settled | $23,618.60 | $0.00 | See FINRA Report |
| Thomas Lee Takes | 2004794 | 3 | 09/19/2016 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Bart Maury Conner | 2716719 | 1 | 10/09/2015 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Pablo M Montero-Bianchi | 2498552 | 2 | 04/14/2015 | Customer Dispute | Settled | $25,000.00 | $0.00 | See FINRA Report |
| Philip Jordan Olstein | 1303035 | 2 | 03/02/2015 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Clint David Hinderaker | 4819652 | 2 | 01/15/2015 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |