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 |
|---|---|---|---|---|---|---|---|---|
| Morgan Renee Crawford | 5904337 | 1 | 12/15/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Brian Robert Hall | 7843096 | 1 | 12/13/2023 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Daniel Thomas Roy | 7285891 | 1 | 10/04/2023 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Duncan Ian Radcliffe | 4403412 | 1 | 09/21/2023 | Customer Dispute | Denied | $8,000.00 | $0.00 | See FINRA Report |
| Timothy Craig Flanagan | 7349518 | 3 | 09/01/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Joseph Li Ballinger | 7038297 | 1 | 08/14/2023 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Matthew Gordon Clark | 1319815 | 1 | 07/07/2023 | Customer Dispute | Settled | $68,000.00 | $0.00 | See FINRA Report |
| Timothy Craig Flanagan | 7349518 | 3 | 07/06/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Sal Peter Tabuena | 2519601 | 1 | 06/06/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Maureen Marie Ferrone | 4189999 | 1 | 06/01/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |