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 |
|---|---|---|---|---|---|---|---|---|
| Dana Ann Ware | 7423465 | 1 | 05/14/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Dominic Frank Pellicano | 2295072 | 2 | 05/04/2015 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Eddie Ray Coleman | 5096893 | 1 | 05/04/2015 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Daryush Saadati | 7306342 | 1 | 04/21/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Pablo M Montero-Bianchi | 2498552 | 2 | 04/14/2015 | Customer Dispute | Settled | $25,000.00 | $0.00 | See FINRA Report |
| Kevin Merle Smith | 4846084 | 1 | 03/04/2015 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Philip Jordan Olstein | 1303035 | 2 | 03/02/2015 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Eric W Krogstad | 2269477 | 1 | 02/28/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Margaret Melissa Raley | 6873485 | 1 | 02/26/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Joseph F Bethmann | 5823750 | 2 | 02/25/2015 | Customer Dispute | Denied | $7,305.00 | $0.00 | See FINRA Report |