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 |
|---|---|---|---|---|---|---|---|---|
| Nathan Korf | 6722864 | 2 | 05/22/2010 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Chad Michael Stubenbort | 6033178 | 1 | 05/12/2010 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Anthony Joseph Dimeglio | 6075308 | 2 | 04/17/2010 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Brandon Fleming | 7397142 | 2 | 03/26/2010 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Kevin Patrick O'Rourke | 5673812 | 1 | 03/24/2010 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael A Kuperman | 6898142 | 1 | 02/28/2010 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Ryan Michael Hall | 7616815 | 3 | 02/27/2010 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Adam Scott Goetzka | 6255915 | 1 | 01/29/2010 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Difillippo | 7305030 | 1 | 11/23/2009 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Andrew Michael Greenfield | 5938516 | 1 | 11/22/2009 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |