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 |
---|---|---|---|---|---|---|---|---|
Barbara Luis | 2493040 | 4 | 03/31/2008 | Customer Dispute | Closed-No Action | $1,050,000.00 | $0.00 | See FINRA Report |
Kenneth Roy Guttentag | 2770191 | 2 | 03/11/2008 | Customer Dispute | Closed-No Action | $525,000.00 | $0.00 | See FINRA Report |