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 |
|---|---|---|---|---|---|---|---|---|
| Jennifer MacKenzie | 5670414 | 2 | 03/09/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Craig Brantley | 4276769 | 3 | 02/17/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jody Kent | 6687816 | 9 | 01/15/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Mark Perry Lake | 2743754 | 1 | 01/12/2016 | Civil | Pending | $0.00 | $0.00 | See FINRA Report |
| Jeffrey James Riegle | 6461243 | 3 | 12/04/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Mark A Ferracane | 5855558 | 1 | 11/30/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Garrison Ellington Goodlett | 6015665 | 3 | 10/23/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Benjamin Thomas MacGowan | 7434582 | 1 | 10/19/2015 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Nicholas Michael Darrah | 5394741 | 1 | 10/13/2015 | Customer Dispute | Denied | $13,816.20 | $0.00 | See FINRA Report |
| Garrison Ellington Goodlett | 6015665 | 3 | 10/11/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |