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 |
|---|---|---|---|---|---|---|---|---|
| Ray Frank Avrett | 1704793 | 8 | 11/11/1997 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| John Timothy Madden | 1846169 | 2 | 09/11/1997 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Christopher Martin Skram | 5291205 | 1 | 09/25/1996 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Steven Ray Johnson | 5054648 | 3 | 08/07/1996 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| James Dahl | 1261537 | 1 | 07/09/1996 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Wendell Dale Epps | 3060214 | 3 | 04/14/1996 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Carla Kay Beitzel | 1337908 | 1 | 01/01/1996 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jonathan Wayne Scharmer | 2757481 | 1 | 11/26/1995 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Steven Ray Johnson | 5054648 | 3 | 11/20/1995 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jeffery Fitzpatrick Strange | 7195186 | 1 | 11/18/1995 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |