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 |
|---|---|---|---|---|---|---|---|---|
| Rocio Tapia | 5523793 | 1 | 09/16/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| William Langston Laury | 5081969 | 5 | 08/14/2024 | Customer Dispute | Pending | $5,000.00 | $0.00 | See FINRA Report |
| Sarah Suzanne Norman | 5470546 | 5 | 08/12/2024 | Customer Dispute | Pending | $5,000.00 | $0.00 | See FINRA Report |
| Amberlee Jaramillo | 7631784 | 1 | 07/30/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Armando M Bustamante | 6304312 | 1 | 07/19/2024 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Michael Stephan Slabic | 2885893 | 1 | 07/15/2024 | Customer Dispute | Denied | $286,339.00 | $0.00 | See FINRA Report |
| Ralph William Stockemer | 1844056 | 1 | 06/25/2024 | Customer Dispute | Pending | $1,000,000.00 | $0.00 | See FINRA Report |
| Robert Edward Johnson | 2363510 | 2 | 06/25/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Joseph Kevin Mathesen | 5799049 | 2 | 06/25/2024 | Regulatory | Pending | $0.00 | $0.00 | See FINRA Report |
| Lauren Catherine McNeill | 5674219 | 1 | 06/21/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |