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 |
|---|---|---|---|---|---|---|---|---|
| Russell John Andersen | 2288717 | 2 | 04/02/2024 | Customer Dispute | Pending | $5,000,000.00 | $0.00 | See FINRA Report |
| Ali Newberry Carmen | 4169159 | 3 | 03/23/2018 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Therese Dianne Owen | 4266266 | 4 | 03/20/2018 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |