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 |
|---|---|---|---|---|---|---|---|---|
| Richard Earl Tinker | 6427064 | 3 | 05/22/2019 | Customer Dispute | Settled | $881,000.00 | $0.00 | See FINRA Report |
| Karl Dettmann | 5790711 | 2 | 05/15/2019 | Customer Dispute | Settled | $15,280.00 | $0.00 | See FINRA Report |
| Michael Merle Erpelding | 1709152 | 1 | 05/06/2019 | Customer Dispute | Closed-No Action | $37,000.00 | $0.00 | See FINRA Report |
| Edward Givin Holmes | 3265277 | 1 | 03/21/2019 | Customer Dispute | Denied | $760,574.00 | $0.00 | See FINRA Report |
| Benjamin D Gantt | 4757055 | 1 | 02/19/2019 | Customer Dispute | Denied | $7,693.62 | $0.00 | See FINRA Report |
| Joshua Andrew Cohen | 4009637 | 1 | 02/05/2019 | Customer Dispute | Denied | $50,859.30 | $0.00 | See FINRA Report |
| Jessica D Schock | 4530268 | 1 | 12/24/2018 | Customer Dispute | Withdrawn | $20,000.00 | $0.00 | See FINRA Report |
| Lee Philip Traibman | 2250192 | 1 | 11/13/2018 | Customer Dispute | Denied | $192,632.00 | $0.00 | See FINRA Report |
| Robert Jay Denhartog | 1974504 | 1 | 10/25/2018 | Customer Dispute | Settled | $7,131.33 | $0.00 | See FINRA Report |
| Paul Seymour Stadfeld | 5788050 | 2 | 10/10/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |