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 |
|---|---|---|---|---|---|---|---|---|
| Jeffrey James Riegle | 6461243 | 3 | 10/16/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Michael Eberhardt | 2479226 | 1 | 10/08/2014 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| John Thomas Hill | 5714622 | 1 | 10/06/2014 | Customer Dispute | Settled | $5,300.00 | $0.00 | See FINRA Report |
| Tiffanie Laine Johnson | 7400052 | 2 | 10/03/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Scott Matthew Baxter | 2439896 | 2 | 09/30/2014 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jeffrey James Riegle | 6461243 | 3 | 09/29/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Arthur Stephen Cloutier | 1489752 | 1 | 09/23/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jennifer MacKenzie | 5670414 | 2 | 09/22/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Andrew Jacob Johnson | 6590462 | 3 | 08/29/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Tiffanie Laine Johnson | 7400052 | 2 | 08/18/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |