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 |
|---|---|---|---|---|---|---|---|---|
| Lauryn L Hays | 2193762 | 1 | 06/18/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Page Grant Pittman | 5640735 | 1 | 05/09/2019 | Customer Dispute | Denied | $30,805.00 | $0.00 | See FINRA Report |
| Jacob Ryan Jewell | 6364490 | 1 | 05/08/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Evan Francis White | 6220560 | 3 | 05/06/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Evan Francis White | 6220560 | 3 | 04/09/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Parker Wakefield Smith | 7414146 | 1 | 03/31/2019 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Ray Frank Avrett | 1704793 | 8 | 03/13/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| William Edward Poindexter | 3232889 | 1 | 03/11/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Clint David Hinderaker | 4819652 | 2 | 03/05/2019 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Dennis John Holland | 1186824 | 1 | 02/13/2019 | Customer Dispute | Settled | $61,397.60 | $0.00 | See FINRA Report |