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 |
|---|---|---|---|---|---|---|---|---|
| Susan Marie Critz | 6149236 | 1 | 12/04/1991 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Robert Alvin Jenkins | 6254580 | 2 | 05/29/1991 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael J Muersch | 5369896 | 1 | 05/02/1991 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Maribel Anne Propp | 4749477 | 1 | 01/01/1991 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Todd Allen Jones | 2641785 | 1 | 11/09/1990 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Robert Steven Markle | 2172400 | 1 | 11/08/1990 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Forde Darryl McWilliams | 1005942 | 2 | 10/05/1990 | Customer Dispute | Award / Judgment | $75,000.00 | $51,848.70 | See FINRA Report |
| David Philip Bournival | 2873158 | 1 | 10/01/1990 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John Raymond Bastian | 2329147 | 2 | 02/28/1990 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John Raymond Bastian | 2329147 | 2 | 02/28/1990 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |