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 |
|---|---|---|---|---|---|---|---|---|
| Philip Jordan Olstein | 1303035 | 2 | 01/21/2022 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Richard Lynn Newland | 4711193 | 1 | 06/25/2019 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |