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 |
|---|---|---|---|---|---|---|---|---|
| Casey Peterson | 6481220 | 1 | 06/14/2024 | Customer Dispute | Closed-No Action | $45,000.00 | $0.00 | See FINRA Report |
| Michael Mildrum | 6606286 | 1 | 05/22/2024 | Customer Dispute | Closed-No Action | $15,000.00 | $0.00 | See FINRA Report |
| Timothy John Molnar | 1487964 | 2 | 02/06/2024 | Customer Dispute | Closed-No Action | $30,000.00 | $0.00 | See FINRA Report |
| Jose Torres | 6330848 | 1 | 02/02/2024 | Customer Dispute | Closed-No Action | $9,993.00 | $0.00 | See FINRA Report |
| Brandon Jeremy Matloff | 5429161 | 1 | 07/10/2023 | Customer Dispute | Closed-No Action | $6,559.12 | $0.00 | See FINRA Report |
| Mitchell David Letwin | 2843830 | 1 | 05/22/2023 | Customer Dispute | Closed-No Action | $28,000.00 | $0.00 | See FINRA Report |
| George Ranyard Allen | 2143736 | 1 | 04/17/2023 | Customer Dispute | Closed-No Action | $13,000.00 | $0.00 | See FINRA Report |
| Keith Volk Llanas | 4992666 | 2 | 01/16/2023 | Customer Dispute | Closed-No Action | $100,000.00 | $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 |
| Matthew Carl Leopold | 2680993 | 1 | 10/26/2022 | Customer Dispute | Closed-No Action | $150,000.00 | $0.00 | See FINRA Report |