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 |
|---|---|---|---|---|---|---|---|---|
| Trisha N Colby | 7189076 | 1 | 07/24/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Craig Brantley | 4276769 | 3 | 05/30/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Steven Mark Handeland | 1227712 | 1 | 05/24/2018 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Matthew Thomas Uno | 6137515 | 1 | 05/17/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Markham Wall | 7409936 | 9 | 05/16/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Markham Wall | 7409936 | 9 | 05/16/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Markham Wall | 7409936 | 9 | 05/16/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Markham Wall | 7409936 | 9 | 05/16/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Markham Wall | 7409936 | 9 | 05/16/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Markham Wall | 7409936 | 9 | 05/16/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |