Our Staff has compiled our research into a database of FINRA Broker Disclosures for Northwestern Mutual Investment Services, LLC. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Aubrey Dodd | 7272952 | 3 | 12/21/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John C Morecraft | 4663379 | 3 | 12/19/2022 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Devon Freeman | 6519423 | 1 | 12/16/2022 | Customer Dispute | Pending | $200.00 | $0.00 | See FINRA Report |
| Anthony Williams | 6363857 | 2 | 12/13/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Renee Catherine Johnson | 5233194 | 9 | 11/29/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Anthony Williams | 6363857 | 2 | 11/29/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Brian Joel Blasczyk | 5784857 | 1 | 11/28/2022 | Customer Dispute | Withdrawn | $130,000.00 | $0.00 | See FINRA Report |
| Ryan C Lawrence | 5913287 | 1 | 11/21/2022 | Customer Dispute | Closed-No Action | $11,000.00 | $0.00 | See FINRA Report |
| Julian Puga | 6313369 | 2 | 11/10/2022 | Customer Dispute | Denied | $11,692.70 | $0.00 | See FINRA Report |
| Duncan M Faris | 7080754 | 1 | 11/08/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |