KENNETH ROY GUTTENTAG is currently employed as a Broker and/or Investment Adviser at NORTHERN TRUST SECURITIES, INC. located at 50 S. LASALLE STREET, CHICAGO, IL, 60675.
KENNETH ROY GUTTENTAG has worked at NORTHERN TRUST SECURITIES, INC. since May 15, 2000
Disclosure History
KENNETH ROY GUTTENTAG has 2 Disclosure Event(s).
Date: March 11, 2008 Category: Customer Dispute Allegations: CLIENT ALLEGES THAT REPRESENTATIVE DID NOT CONVEY THAT THE LIQUIDITY OF AUCTION RATE SECURITIES RELIED ON SUCCESSFUL AUCTIONS. Damage Amount Requested: $525,000.00
Date: December 16, 2002 Category: Customer Dispute Allegations: CLIENT ALLEGES REP BOUGHT CALLABLE BONDS WHEN SHE ASKED THAT NONE BE BOUGHT. BONDS WERE CALLED AND CLIENT SEEKS LOST INTEREST PAYMENTS AND REPLACEMENT OF BONDS. REP INDICATES HE DISCUSSED THE CALL FEATURES WITH THE CLIENT AND HAS SAID THE CLIENT DID NOT INDICATE HER NOT WANTING CALLABLE BONDS. COMPLAINT ARRIVED ALMOST 6 MONTHS AFTER BONDS WERE BOUGHT. THE ORIGINAL CONFIRMATION AND SUBSEQUENT STATEMENTS INDICATED CALL FEATURES. LOST INTEREST AND NEW BONDS WERE BOUGHT FOR THE CLIENT. Damage Amount Requested: $12,937.00 Settlement Amount: $12,937.00
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