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 |
|---|---|---|---|---|---|---|---|---|
| Walter Zabrowski | 7365843 | 1 | 11/05/2009 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Ramon Enrique Rodriguez | 7263612 | 1 | 10/06/2009 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Sarah Lynn Carver | 6068111 | 1 | 07/29/2009 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Geoffrey Michael Henderson | 6471326 | 1 | 07/26/2009 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael D Johnson | 6470114 | 1 | 05/14/2009 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Alejandro Hurtado | 4707736 | 1 | 01/05/2009 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Joshua Steven Albert | 6158094 | 1 | 08/27/2008 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Christopher R Roman | 7228606 | 1 | 04/30/2008 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| David Cawley | 6203184 | 2 | 03/20/2008 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| David Cawley | 6203184 | 2 | 03/20/2008 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |