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 |
|---|---|---|---|---|---|---|---|---|
| Catherine Rose | 7338552 | 2 | 07/30/2014 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Sawyer C Green | 7522208 | 3 | 06/23/2014 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Samuel Ernest Hargrave | 5891206 | 1 | 06/22/2014 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Mariela Garay | 7337367 | 1 | 04/23/2014 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jacob R Flemming | 6896521 | 1 | 01/19/2014 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Brandon Decker | 6948188 | 3 | 12/26/2013 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Brandon Decker | 6948188 | 3 | 12/26/2013 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| William Scott Manges | 7712085 | 1 | 11/04/2013 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James M Casanova | 6683886 | 1 | 11/02/2013 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| David Perez | 3220942 | 4 | 07/16/2013 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |