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 |
|---|---|---|---|---|---|---|---|---|
| Robert Raymond Borowczak | 4914671 | 1 | 03/11/2019 | Customer Dispute | Settled | $35,000.00 | $0.00 | See FINRA Report |
| Kenneth Roy Guttentag | 2770191 | 2 | 12/16/2002 | Customer Dispute | Settled | $12,937.00 | $0.00 | See FINRA Report |