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 |
|---|---|---|---|---|---|---|---|---|
| William Justin Nichols | 6939578 | 1 | 01/27/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Bryan Gregory Fiala | 5777706 | 1 | 12/23/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael Wayne Struebing | 2158429 | 1 | 11/17/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Justin Royal Kuitu | 4397314 | 5 | 08/21/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Stephanie Lynn Fishnick | 7007095 | 2 | 07/15/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Thomas Markham Wall | 7409936 | 9 | 05/16/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Phillip Dvorak | 2372602 | 2 | 04/23/2020 | Customer Dispute | Settled | $85,166.70 | $0.00 | See FINRA Report |
| Jody Kent | 6687816 | 9 | 04/09/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Mercedes Grace Cole | 1926134 | 1 | 03/02/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Joel Dorhout | 6255310 | 2 | 02/26/2020 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |