Principal Securities

There are Recent Customer Complaints with Broker Richard Diaz in Firm Principal Securities, INC.

July 2, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Diaz (Diaz), previously associated with Principal Securities, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Diaz recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $25,000.00 on August 10, 2020.

The Trustee alleges the Trust lost money due to the representative’s failure to execute instructions to [REDACTED] accounts prior to his death.

There are Recent Customer Complaints with Broker Matthew Clark in Firm Principal Securities, INC.

June 27, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Clark (Clark), currently associated with Principal Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Clark recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on April 20, 2026.

The clients allege that the registered representative gave them incorrect information that they relied upon regarding transactions for their variable life insurance policy, which damaged them financially.

There are Recent Customer Complaints with Broker Bryan Fiala in Firm Principal Securities, INC.

May 27, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bryan Fiala (Fiala), currently associated with Principal Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Fiala recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on December 23, 2020.

The complainants allege their representative never invested their money in the Stock Market back in March 2020, when they transferred money from an IRA into a ROTH. As a result, they missed out on a market upswing, and are now facing a tax penalty as a result.

There are Recent Customer Complaints with Broker Cassidy Bearinger in Firm Principal Securities, INC.

May 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Cassidy Bearinger (Bearinger), currently associated with Principal Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Bearinger recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $6,680.00 on March 06, 2026.

The client alleged that the registered representative did not enter his trade orders as requested.

Broker Damien Martinez in Principal Securities, INC. Firm Has Customer Complaint

May 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Damien Martinez (Martinez), currently associated with Principal Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Martinez recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $6,680.00 on March 06, 2026.

The client alleged that the registered representative did not enter his trade orders as requested.

Broker Jeffrey Dvorak in Principal Securities, INC. Firm Has Customer Complaint

May 10, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Dvorak (Dvorak), currently associated with Principal Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Dvorak recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $85,166.66 on April 23, 2020.

Client alleges she took an unsuitable early distribution from her IRA account in August 2016 at the advice of her registered representative.

Broker Richard Diaz in Principal Securities, INC. Firm Has Customer Complaint

April 24, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Diaz (Diaz), previously associated with Principal Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Diaz recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $25,000.00 on August 10, 2020.

The Trustee alleges the Trust lost money due to the representative’s failure to execute instructions to [REDACTED] accounts prior to his death.

Broker Jacob Adams in Principal Securities, INC. Firm Has Customer Complaint

April 8, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jacob Adams (Adams), currently associated with Principal Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Adams recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $500,000.00 on January 29, 2026.

The claimants allege that the recommendation of the real estate investment was unsuitable.

Broker William Schumaker in Principal Securities, INC. Firm Has Customer Complaint

November 30, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Schumaker (Schumaker), currently associated with Principal Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Schumaker recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $7,447.50 on April 13, 2022.

Client alleges the representative recommended a VUL policy that was unsuitable, and she has asked for the surrender charges on the policy to be waived.

There are Recent Customer Complaints with Broker John Noey in Firm Principal Securities, INC.

October 31, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Noey (Noey), currently associated with Principal Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Noey recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on September 09, 2025.

The Trustee alleges the representative ceased providing advice and services, and his failure to act in the best interests of the Trust resulted in damages.