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 |
|---|---|---|---|---|---|---|---|---|
| Heath Nikolas Smith | 4657958 | 1 | 10/03/2003 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John Winston Crandell | 4954446 | 1 | 03/10/2002 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Andrew Desmond | 1513201 | 1 | 08/24/2000 | Customer Dispute | Settled | $18,502.00 | $0.00 | See FINRA Report |
| Steven James Schnoor | 6749279 | 1 | 01/16/2000 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Gerry Allan Holloway | 4911630 | 1 | 04/20/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Timothy Allen Hill | 2317289 | 3 | 02/18/1998 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Timothy Allen Hill | 2317289 | 3 | 02/03/1998 | Customer Dispute | Denied | $6,500.00 | $0.00 | See FINRA Report |
| Timothy Allen Hill | 2317289 | 3 | 10/28/1997 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Kari Ann Delaney | 4132467 | 1 | 10/25/1996 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |