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 M Bellia | 2594455 | 1 | 05/22/2017 | Customer Dispute | Settled | $190,000.00 | $0.00 | See FINRA Report |
| Robert John Imper | 6265033 | 1 | 05/17/2017 | Customer Dispute | Denied | $128,395.00 | $0.00 | See FINRA Report |
| Daniel Scott Woodham | 5193449 | 3 | 05/11/2017 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Justin Royal Kuitu | 4397314 | 5 | 05/03/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Keith Anthony Willett | 2702568 | 1 | 04/17/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Christopher Warren Bibow | 3103035 | 2 | 04/17/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Gregery Dean Odell | 1809666 | 2 | 04/07/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jeffery Dewayne Ruffin | 6619340 | 2 | 03/28/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Kevin M Alarid | 2987965 | 5 | 03/23/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Rick Lynn Bower | 5315073 | 1 | 03/22/2017 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |