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 |
|---|---|---|---|---|---|---|---|---|
| Charlotte Marie MacKelvey | 2201473 | 4 | 09/11/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Wendell Dale Epps | 3060214 | 3 | 09/05/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Lee Wesley Wadkins | 5494700 | 6 | 08/29/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Lee Wesley Wadkins | 5494700 | 6 | 08/22/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Lee Wesley Wadkins | 5494700 | 6 | 08/22/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Lee Wesley Wadkins | 5494700 | 6 | 08/14/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Charles Rudolph Walters | 5275976 | 1 | 08/02/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Murry Resler | 2954207 | 5 | 07/01/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Murry Resler | 2954207 | 5 | 06/15/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Susan Lee Bell | 4818391 | 1 | 06/13/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |