Our Staff has compiled our research into a database of FINRA Broker Disclosures for Northland Securities, 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 |
|---|---|---|---|---|---|---|---|---|
| Robert Anders Herje | 1496687 | 2 | 02/15/2022 | Customer Dispute | Pending | $300,000.00 | $0.00 | See FINRA Report |
| James Robert Reynolds | 4408485 | 2 | 06/24/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jeffrey David Rahm | 1520986 | 6 | 01/14/2020 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Robert Anders Herje | 1496687 | 2 | 09/09/2019 | Customer Dispute | Settled | $2,000,000.00 | $0.00 | See FINRA Report |
| Girolamo Cucinella | 2477888 | 1 | 11/29/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| James Robert Reynolds | 4408485 | 2 | 06/24/2016 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| David R Levine | 3138416 | 3 | 03/28/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| David R Levine | 3138416 | 3 | 02/15/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| David R Levine | 3138416 | 3 | 02/05/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| John Daniel Baasen | 9413 | 1 | 05/13/2011 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |