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 |
|---|---|---|---|---|---|---|---|---|
| Michael Vernon Benninghoven | 2839187 | 1 | 11/17/2014 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Brian Kenneth Davis | 4049856 | 1 | 10/21/2014 | Customer Dispute | Settled | $34,570.00 | $0.00 | See FINRA Report |
| John Thomas Hill | 5714622 | 1 | 10/06/2014 | Customer Dispute | Settled | $5,300.00 | $0.00 | See FINRA Report |
| Anne Marie Evert | 2513500 | 2 | 08/13/2014 | Customer Dispute | Settled | $543,000.00 | $0.00 | See FINRA Report |
| Stephen Dean Roe | 1341313 | 1 | 02/17/2014 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Benjamin Trevino | 5387707 | 1 | 02/05/2014 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Adam J Brophy | 5102973 | 1 | 02/05/2014 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Daniel Roy John Buehrle | 4580417 | 1 | 02/05/2014 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Conrad Russell Beeler | 5975466 | 2 | 04/11/2013 | Customer Dispute | Settled | $13,567.00 | $0.00 | See FINRA Report |
| James Michael Brock | 4919273 | 1 | 01/09/2013 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |