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 |
|---|---|---|---|---|---|---|---|---|
| Michelle Lea Hoos | 6923677 | 2 | 01/30/2002 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Pablo M Montero-Bianchi | 2498552 | 2 | 12/27/2001 | Customer Dispute | Settled | $18,677.00 | $0.00 | See FINRA Report |
| Michelle Lea Hoos | 6923677 | 2 | 12/19/2001 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Gary Patrick Heatherington | 1077383 | 1 | 12/05/2001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Helen Barton Skinner | 1741324 | 1 | 10/26/2001 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Alonzo Felton Barnes | 2078002 | 1 | 10/10/2001 | Customer Dispute | Denied | $81,000.00 | $0.00 | See FINRA Report |
| Randall Jay Roethel | 1122738 | 1 | 08/29/2001 | Customer Dispute | Settled | $20,857.80 | $0.00 | See FINRA Report |
| Norman Frank Pierce | 4330297 | 2 | 08/23/2001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Lynam | 6064727 | 1 | 07/24/2001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Kevin Charles Collignon | 1185112 | 6 | 06/14/2001 | Customer Dispute | Settled | $58,000.00 | $0.00 | See FINRA Report |