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 |
|---|---|---|---|---|---|---|---|---|
| Anderson Eduardo Ariza | 3217175 | 7 | 06/30/2008 | Customer Dispute | Closed-No Action | $175,000.00 | $0.00 | See FINRA Report |
| Anderson Eduardo Ariza | 3217175 | 7 | 05/27/2008 | Customer Dispute | Closed-No Action | $2,750,000.00 | $0.00 | See FINRA Report |
| Anderson Eduardo Ariza | 3217175 | 7 | 04/21/2008 | Customer Dispute | Closed-No Action | $200,000.00 | $0.00 | See FINRA Report |
| Barbara Luis | 2493040 | 4 | 04/21/2008 | Customer Dispute | Closed-No Action | $200,000.00 | $0.00 | See FINRA Report |
| David Woods Leonard | 1705391 | 1 | 04/21/2008 | Customer Dispute | Closed-No Action | $750,000.00 | $0.00 | See FINRA Report |
| Anderson Eduardo Ariza | 3217175 | 7 | 04/08/2008 | Customer Dispute | Closed-No Action | $1,425,000.00 | $0.00 | See FINRA Report |
| 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 |
| Ryan Leslie Lachmansingh | 4259206 | 1 | 02/08/2008 | Customer Dispute | Denied | $15,783.60 | $0.00 | See FINRA Report |
| Barbara Luis | 2493040 | 4 | 12/24/2007 | Customer Dispute | Denied | $35,000.00 | $0.00 | See FINRA Report |