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 |
|---|---|---|---|---|---|---|---|---|
| William Langston Laury | 5081969 | 5 | 08/14/2024 | Customer Dispute | Pending | $5,000.00 | $0.00 | See FINRA Report |
| Sarah Suzanne Norman | 5470546 | 5 | 08/12/2024 | Customer Dispute | Pending | $5,000.00 | $0.00 | See FINRA Report |
| Michael Stephan Slabic | 2885893 | 1 | 07/15/2024 | Customer Dispute | Denied | $286,339.00 | $0.00 | See FINRA Report |
| Ralph William Stockemer | 1844056 | 1 | 06/25/2024 | Customer Dispute | Pending | $1,000,000.00 | $0.00 | See FINRA Report |
| Casey Peterson | 6481220 | 1 | 06/14/2024 | Customer Dispute | Closed-No Action | $45,000.00 | $0.00 | See FINRA Report |
| Andrew David Laforce | 5785709 | 1 | 06/04/2024 | Customer Dispute | Denied | $138,647.00 | $0.00 | See FINRA Report |
| Aaron Morgan Bell | 5432615 | 1 | 06/03/2024 | Customer Dispute | Pending | $124,000.00 | $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 |
| Andrew Carlson Gillespie | 6563626 | 1 | 04/22/2024 | Customer Dispute | Denied | $6,953.00 | $0.00 | See FINRA Report |
| Leslie D Wood | 4759719 | 1 | 04/15/2024 | Customer Dispute | Pending | $100,000.00 | $0.00 | See FINRA Report |