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 |
|---|---|---|---|---|---|---|---|---|
| Shannon Brent Steensma | 2714596 | 1 | 12/03/2019 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Vincent Leonard Auriemma | 1042239 | 2 | 11/20/2019 | Customer Dispute | Denied | $89,547.00 | $0.00 | See FINRA Report |
| James Kirk Baird | 2701356 | 1 | 09/27/2019 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Justin Miles Nelson | 6036816 | 1 | 09/16/2019 | Customer Dispute | Settled | $97,000.00 | $0.00 | See FINRA Report |
| Richard B Leff | 4518239 | 1 | 08/28/2019 | Customer Dispute | Settled | $7,666.00 | $0.00 | See FINRA Report |
| Douglas Arlin Dawson | 1362983 | 1 | 08/09/2019 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Robert Charles Rauf | 1663810 | 1 | 08/02/2019 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Vincent Leonard Auriemma | 1042239 | 2 | 08/01/2019 | Customer Dispute | Denied | $60,609.00 | $0.00 | See FINRA Report |
| John Raymond Glowacki | 1317010 | 1 | 07/26/2019 | Customer Dispute | Denied | $42,175.00 | $0.00 | See FINRA Report |
| Scott S Niekamp | 3277810 | 7 | 07/23/2019 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |