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 |
|---|---|---|---|---|---|---|---|---|
| Dax James Welsheimer | 2767268 | 1 | 06/01/2001 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Todd J Barden | 2072385 | 3 | 05/15/2001 | Customer Dispute | Settled | $12,748.40 | $0.00 | See FINRA Report |
| Matthew Duane Dinville | 2877349 | 1 | 05/01/2001 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Shanna Michelle Ross | 5841494 | 1 | 04/03/2001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Jay Ganther | 2306504 | 2 | 03/15/2001 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Forde Darryl McWilliams | 1005942 | 2 | 03/05/2001 | Customer Dispute | Settled | $85,000.00 | $0.00 | See FINRA Report |
| Thomas Lee Takes | 2004794 | 3 | 02/01/2001 | Customer Dispute | Settled | $10,000.00 | $0.00 | See FINRA Report |
| Charles Michael Pires | 2339040 | 3 | 12/15/2000 | Customer Dispute | Settled | $865,000.00 | $0.00 | See FINRA Report |
| Alexis Nicole Devorss | 5122186 | 1 | 12/03/2000 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Cherry Haney Fishburne | 2637123 | 1 | 11/20/2000 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |