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 |
|---|---|---|---|---|---|---|---|---|
| Sherry Johnson White | 3228999 | 1 | 10/18/2000 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Andrew Desmond | 1513201 | 1 | 08/24/2000 | Customer Dispute | Settled | $18,502.00 | $0.00 | See FINRA Report |
| Roger Goren | 1094473 | 3 | 06/13/2000 | Customer Dispute | Settled | $35,000,000.00 | $0.00 | See FINRA Report |
| Jason Samuel Sperry | 6395167 | 1 | 05/17/2000 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Robin Dawn Baumgartner | 2532042 | 1 | 12/16/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Stephen Craig Mercer | 3141886 | 2 | 11/17/1999 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michael Keith McDonough | 1511844 | 3 | 09/23/1999 | Customer Dispute | Settled | $44,000.00 | $0.00 | See FINRA Report |
| Stephen Craig Mercer | 3141886 | 2 | 09/20/1999 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| John Timothy Madden | 1846169 | 2 | 04/08/1999 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Damien Anthony Martinez | 6873176 | 1 | 03/20/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |