Securities Lawyers Blog
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 allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on June 04, 2025.
Time Frame: November 11th, 2024 to April 29th, 2025\, Client alleges he was told these investments (Alternative Investments) would be called within a year yet they have not been, creating a liability where funds cannot be invested elsewhere. Client further states the terms were mis- stated and would have never purchased these investments.