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 |
|---|---|---|---|---|---|---|---|---|
| Charles Michael Pires | 2339040 | 3 | 05/19/2003 | Customer Dispute | Denied | $45,000.00 | $0.00 | See FINRA Report |
| Charles Michael Pires | 2339040 | 3 | 01/15/2003 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Gary L Karthauser | 1101128 | 1 | 01/06/2003 | Customer Dispute | Denied | $25,732.00 | $0.00 | See FINRA Report |
| Kevin Charles Collignon | 1185112 | 6 | 11/26/2002 | Customer Dispute | Settled | $238,270.00 | $0.00 | See FINRA Report |
| Norman Frank Pierce | 4330297 | 2 | 11/25/2002 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Robert J Belman | 1711126 | 8 | 11/15/2002 | Customer Dispute | Denied | $80,000.00 | $0.00 | See FINRA Report |
| Kevin Charles Collignon | 1185112 | 6 | 11/05/2002 | Customer Dispute | Settled | $265,732.00 | $0.00 | See FINRA Report |
| Kent D Greer | 3262609 | 1 | 10/22/2002 | Customer Dispute | Denied | $25,000.00 | $0.00 | See FINRA Report |
| Mike Anthony Priestley | 1009437 | 1 | 05/21/2002 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Raymond Nicholas Ianni | 1428562 | 1 | 05/02/2002 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |