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 |
|---|---|---|---|---|---|---|---|---|
| Joseph Edgar Price | 5438198 | 1 | 01/07/1989 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Todd A Hall | 7372911 | 1 | 06/02/1988 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Jay Ganther | 2306504 | 2 | 04/25/1988 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Ronald Wayne Moore | 2156178 | 2 | 03/21/1988 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Joseph Carlin Fernandez | 2318990 | 2 | 12/26/1987 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Katie Lynne Allen | 7406399 | 1 | 06/01/1986 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Garrick Scot Sasa | 5471918 | 1 | 08/30/1985 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Robert Appel | 6199054 | 1 | 08/30/1984 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Christopher Tod Freeman | 6560800 | 1 | 07/18/1984 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Daniel Douglas Grieshaber | 1572398 | 1 | 06/26/1984 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |