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 |
|---|---|---|---|---|---|---|---|---|
| David A Lookadoo | 4567298 | 1 | 06/04/2009 | Customer Dispute | Settled | $52,433.00 | $0.00 | See FINRA Report |
| Randall Jay Malone | 1536310 | 1 | 03/04/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Ronald Domenic Piccinini | 1820618 | 1 | 10/27/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Han Chen | 3111399 | 2 | 10/20/2008 | Customer Dispute | Settled | $16,237.50 | $0.00 | See FINRA Report |
| Han Chen | 3111399 | 2 | 06/18/2008 | Customer Dispute | Settled | $87,036.10 | $0.00 | See FINRA Report |
| Timothy Patrick McParland | 2307788 | 2 | 03/26/2008 | Customer Dispute | Settled | $18,402.80 | $0.00 | See FINRA Report |
| Kevin Michael Castle | 720568 | 1 | 12/08/2006 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Joshua Colben Saboe | 4910998 | 3 | 07/29/2006 | Customer Dispute | Settled | $18,000.00 | $0.00 | See FINRA Report |
| Derek Lee Smith | 2341340 | 2 | 06/20/2006 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Brent David Hinerichsen | 2334218 | 1 | 04/24/2006 | Customer Dispute | Settled | $76,937.40 | $0.00 | See FINRA Report |