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 |
|---|---|---|---|---|---|---|---|---|
| Thomas Markham Wall | 7409936 | 9 | 05/16/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Markham Wall | 7409936 | 9 | 05/16/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Geilesha Adele Kurfman | 7636227 | 1 | 05/08/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| John Anderson Langley | 5504313 | 1 | 04/25/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jake A Fashner | 5368273 | 1 | 04/24/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jody Kent | 6687816 | 9 | 04/19/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Mark Robert Schneider | 1893502 | 2 | 04/09/2018 | Customer Dispute | Denied | $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 |
| Kevin M Alarid | 2987965 | 5 | 03/21/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jason Lee Baier | 5164898 | 1 | 03/21/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |