The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Anderson Ariza (Ariza), currently employed by Northern Trust Securities, INC. has been subject to at least one disclosable event. These events include one customer complaint. According to records kept by The Financial Industry Regulatory Authority (FINRA), Ariza’s…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brent Penrose (Penrose), currently associated with Northern Trust Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Penrose recommended unsuitable investments in different investment products including debt securities among other…