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 |
|---|---|---|---|---|---|---|---|---|
| Joel A Poole | 7222796 | 2 | 12/31/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Douglas Ray Havel | 2250349 | 4 | 12/11/2018 | Customer Dispute | Settled | $6,866.94 | $0.00 | See FINRA Report |
| Mindy Ann Mondaro | 1791243 | 1 | 11/21/2018 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Douglas Ray Havel | 2250349 | 4 | 10/23/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jennifer Michelle Holder | 5064460 | 1 | 09/28/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Roland Caron | 1282414 | 1 | 09/07/2018 | Customer Dispute | Denied | $20,000.00 | $0.00 | See FINRA Report |
| Robert Rae Howell | 2544035 | 5 | 09/05/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Scott Alan Kimmel | 1707311 | 3 | 08/28/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| John William Noey | 4676895 | 3 | 08/15/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Daniel S Schueren | 6746632 | 1 | 07/27/2018 | Customer Dispute | Closed-No Action | $23,500.00 | $0.00 | See FINRA Report |