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 |
|---|---|---|---|---|---|---|---|---|
| James M Follstad | 5480875 | 7 | 06/01/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| James M Follstad | 5480875 | 7 | 05/25/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Gregery Dean Odell | 1809666 | 2 | 05/24/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| James M Follstad | 5480875 | 7 | 05/23/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| James M Follstad | 5480875 | 7 | 05/19/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jeff A Schoenekase | 2179585 | 1 | 04/15/2016 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| James M Follstad | 5480875 | 7 | 04/15/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| James M Follstad | 5480875 | 7 | 04/11/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| James M Follstad | 5480875 | 7 | 03/31/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Taylor Archer | 7123474 | 1 | 03/13/2016 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |