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FINRA Broker Disclosures for Northern Trust Securities, Inc.

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.

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Displaying 11-12 out of 12 results
Name CRD Total Disclosures Filing Date Disclosure Type Disclosure Status Damages Requested Damages Granted FINRA Reports
Barbara Luis2493040403/31/2008Customer DisputeClosed-No Action$1,050,000.00$0.00See FINRA Report
Kenneth Roy Guttentag2770191203/11/2008Customer DisputeClosed-No Action$525,000.00$0.00See FINRA Report

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