Securities Lawyers Blog
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 most recent customer complaint alleges that Ariza recommended unsuitable investments in structured products and makes allegations concerning misconduct relating to the handling of the customer’s accounts.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $60,000.00 on September 12, 2025.
Written complaint that trust was recommended an unsuitable security. Trustees do not feel it was adequately disclosed that the bond was a structured note or what the associated risks of this product were. Complaint is pending continued negotiations with the trustees.