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 |
|---|---|---|---|---|---|---|---|---|
| Dina Marie Sullivan | 2793158 | 1 | 12/01/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| James Lamont Wesley | 3042747 | 1 | 02/14/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |