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FINRA Awards for Northwestern Mutual Investment Services,

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Case Number Award Date Case Summary Customer Case? Amount Granted
23-0031212/04/2023Claimant(s): Andrea Freedlund
Claimant Lawyers(s): Andrea J. Freedlund
Respondent(s): Northwestern Mutual Investment Services,
Respondent Lawyers(s): Clarke C. Greene
Arbitrator(s): Jack R. Goetz, Steven H. Gentry, Gecole L. Harley
Hearing Site: Los Angeles, CA
Checkmark Icon$175
13-0337805/30/2014Claimant(s): Brian Ricks
Claimant Lawyers(s): Brian D. Ricks
Respondent(s): Michael Demaria, Northwestern Mutual Investment Services,
Respondent Lawyers(s): Jim Grady, Louis H. Castoria
Arbitrator(s): Robin Lynn Berry
Hearing Site: San Francisco, CA
Checkmark Icon$0
11-0264608/16/2012Claimant(s): Virginia Bond Patchen
Claimant Lawyers(s): Scott M. Hare
Respondent(s): Pershing LLC, Kevin Miller, Thomas Virostek, Northwestern Mutual Investment Services,, Northwestern Mutual Wealth Management Co, The Northwestern Mutual Life Insurance C
Respondent Lawyers(s): James A. McGovern, Joseph S.D. Christof II
Arbitrator(s): Ellen Holland Keller, Thomas H. Barnard, Kathleen P. Helbig-Hannan
Hearing Site: Cleveland, OH
Checkmark Icon$0

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