Our Staff has compiled our research into a database of FINRA Broker Disclosures for Principal Funds Distributor, 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 |
|---|---|---|---|---|---|---|---|---|
| Honore Nanette Mendoza | 5039113 | 5 | 11/10/2021 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Honore Nanette Mendoza | 5039113 | 5 | 07/26/2021 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Christina Marie Spaulding | 7647131 | 1 | 10/27/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Honore Nanette Mendoza | 5039113 | 5 | 08/12/2020 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Honore Nanette Mendoza | 5039113 | 5 | 03/31/2020 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Honore Nanette Mendoza | 5039113 | 5 | 12/10/2019 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Mark Perry Lake | 2743754 | 1 | 01/12/2016 | Civil | Pending | $0.00 | $0.00 | See FINRA Report |
| Dina Marie Sullivan | 2793158 | 1 | 12/01/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Samantha Paige Kintzle | 6618324 | 1 | 05/10/2013 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Lamont Wesley | 3042747 | 1 | 02/14/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |