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 |
|---|---|---|---|---|---|---|---|---|
| Robert Taylor Hicks | 4855745 | 2 | 10/27/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Matthew James Quigley | 5875683 | 2 | 12/22/2022 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Robert Taylor Hicks | 4855745 | 2 | 09/06/2022 | Judgment / Lien | $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 James Quigley | 5875683 | 2 | 10/21/2012 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Kacy Stuart Sokolsky | 6661489 | 1 | 07/22/2011 | Criminal | Final Disposition | $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 |
| Harrison Kerr Tigrett | 4335254 | 1 | 11/24/1997 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |