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 |
|---|---|---|---|---|---|---|---|---|
| Matthew F Riech | 5697874 | 1 | 02/25/2020 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| James Michael Anderson | 4280008 | 1 | 02/21/2020 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |
| Thomas Michael Warrick | 5817670 | 1 | 01/31/2020 | Customer Dispute | Settled | $549,918.00 | $0.00 | See FINRA Report |
| Thomas Joseph Meehan | 5941394 | 1 | 01/23/2020 | Customer Dispute | Denied | $250,000.00 | $0.00 | See FINRA Report |
| Rob Allan Randels | 2433244 | 1 | 01/16/2020 | Customer Dispute | Denied | $125,703.00 | $0.00 | See FINRA Report |
| Kevin R Yeargers | 4893619 | 1 | 01/16/2020 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Timothy M Curran | 5544247 | 1 | 01/16/2020 | Customer Dispute | Denied | $125,703.00 | $0.00 | See FINRA Report |
| Keith Volk Llanas | 4992666 | 2 | 01/08/2020 | Customer Dispute | Denied | $7,853.00 | $0.00 | See FINRA Report |
| Jeffrey John Manderfeld | 3023585 | 1 | 12/10/2019 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |
| Thomas Edward Clasby | 5473337 | 1 | 12/10/2019 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |