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 |
|---|---|---|---|---|---|---|---|---|
| Richard Arthur Kroll | 2353169 | 1 | 01/30/2006 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jason James Renskers | 2856391 | 2 | 10/20/2005 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jason James Renskers | 2856391 | 2 | 10/19/2005 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Ronald Bruce Merry | 1157250 | 1 | 10/04/2005 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| John William Noey | 4676895 | 3 | 06/20/2005 | Customer Dispute | Settled | $13,000.00 | $0.00 | See FINRA Report |
| Jason Edward Rhodes | 2721025 | 6 | 10/19/2004 | Customer Dispute | Settled | $33,900.00 | $0.00 | See FINRA Report |
| Avi Joseph Mesch | 2724080 | 1 | 04/30/2004 | Customer Dispute | Settled | $140,000.00 | $0.00 | See FINRA Report |
| Montie David Foster | 1624510 | 2 | 04/08/2004 | Customer Dispute | Settled | $94,602.20 | $0.00 | See FINRA Report |
| Charles Michael Pires | 2339040 | 3 | 01/15/2003 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Kevin Charles Collignon | 1185112 | 6 | 11/26/2002 | Customer Dispute | Settled | $238,270.00 | $0.00 | See FINRA Report |