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 | 10/05/2012 | Customer Dispute | Closed-No Action | $37,468.10 | $0.00 | See FINRA Report |
| Russell John Andersen | 2288717 | 2 | 01/23/2011 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Barbara Luis | 2493040 | 4 | 11/10/2009 | Customer Dispute | Denied | $43,000.00 | $0.00 | See FINRA Report |
| Brendan Lyons Connor | 5904236 | 1 | 08/27/2009 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jeremy David Honness | 2780349 | 1 | 10/09/2008 | Customer Dispute | Denied | $12,527.60 | $0.00 | See FINRA Report |
| Anderson Eduardo Ariza | 3217175 | 7 | 09/01/2008 | Customer Dispute | Closed-No Action | $275,000.00 | $0.00 | See FINRA Report |
| Robert Alan Falato | 2115975 | 1 | 07/29/2008 | Customer Dispute | Closed-No Action | $4,075,000.00 | $0.00 | See FINRA Report |
| Anderson Eduardo Ariza | 3217175 | 7 | 07/26/2008 | Customer Dispute | Closed-No Action | $1,350,000.00 | $0.00 | See FINRA Report |
| 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 |