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 |
|---|---|---|---|---|---|---|---|---|
| Steven Raymond Maehl | 2128472 | 1 | 12/28/1994 | Customer Dispute | Award / Judgment | $4,625.00 | $2,500.00 | See FINRA Report |
| Francis Joseph Gingras | 222176 | 2 | 10/12/1992 | Customer Dispute | Award / Judgment | $100,000.00 | $100,000.00 | See FINRA Report |