Our Staff has compiled our research into a database of FINRA Broker Disclosures for Northern Trust 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 |
|---|---|---|---|---|---|---|---|---|
| Constance Ann Snowden Capco | 3136284 | 1 | 11/30/2022 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Robert Alan Falato | 2115975 | 2 | 11/30/2022 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Emmeline Barcomb | 6113314 | 3 | 08/24/2022 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Victor Paniagua | 6338734 | 2 | 04/14/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Emmeline Barcomb | 6113314 | 3 | 12/16/2021 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Emmeline Barcomb | 6113314 | 3 | 10/01/2021 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Victor Paniagua | 6338734 | 2 | 10/13/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Daniel Gerard Mohen | 2219821 | 3 | 03/14/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Robert Raymond Borowczak | 4914671 | 1 | 03/11/2019 | Customer Dispute | Settled | $35,000.00 | $0.00 | See FINRA Report |
| Ali Newberry Carmen | 4169159 | 3 | 03/23/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |