Our Staff has compiled our research into a database of FINRA Broker Disclosures for Northern Lights Distributors, LLC. 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 |
|---|---|---|---|---|---|---|---|---|
| Rick Anthony Dibernardo | 2261238 | 2 | 06/26/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Rick Anthony Dibernardo | 2261238 | 2 | 06/26/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Sean Nguyen Pham | 5092586 | 1 | 10/27/2013 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Matthew Thomas Haley | 6677619 | 1 | 03/04/2012 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Todd Allen Dangelo | 2982047 | 1 | 07/18/2006 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| William Patrick Edmunds | 2688036 | 1 | 11/30/2005 | Customer Dispute | Denied | $18,233.20 | $0.00 | See FINRA Report |
| Daniel Marshall Kullman | 2065972 | 1 | 09/23/1998 | Customer Dispute | Closed-No Action | $60,000.00 | $0.00 | See FINRA Report |
| Harrison Kerr Tigrett | 4335254 | 1 | 11/24/1997 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |