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 |
|---|---|---|---|---|---|---|---|---|
| Tat Chan | 6829136 | 1 | 01/18/2022 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Samuel Wesley Pitt | 6699078 | 1 | 12/22/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Justin Royal Kuitu | 4397314 | 5 | 08/18/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Sara Mills-Gaines | 5479702 | 5 | 06/21/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michael L Greene | 7085676 | 2 | 05/07/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Brandon Gary Meza | 7068288 | 1 | 04/08/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Dale Duane Bartlett | 2625302 | 1 | 03/19/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael L Greene | 7085676 | 2 | 02/10/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| 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 |