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 |
|---|---|---|---|---|---|---|---|---|
| Stewart Douglas Keltner | 6089104 | 1 | 10/03/2018 | Customer Dispute | Closed-No Action | $10,000.00 | $0.00 | See FINRA Report |
| Kevin Michael Caccomo | 6066313 | 1 | 08/17/2018 | Customer Dispute | Closed-No Action | $7,000.00 | $0.00 | See FINRA Report |
| Karen Irene Schmidt | 5669963 | 2 | 08/16/2018 | Customer Dispute | Settled | $317,762.00 | $0.00 | See FINRA Report |
| Heath M Johnson | 4737219 | 1 | 08/03/2018 | Customer Dispute | Closed-No Action | $13,000.00 | $0.00 | See FINRA Report |
| Debra Lynn Neely | 4205273 | 1 | 04/10/2018 | Customer Dispute | Settled | $11,000.00 | $0.00 | See FINRA Report |
| Scott S Niekamp | 3277810 | 7 | 02/22/2018 | Customer Dispute | Denied | $5,000,000.00 | $0.00 | See FINRA Report |
| Scott S Niekamp | 3277810 | 7 | 02/12/2018 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Holly Jane Neault | 1983239 | 1 | 02/09/2018 | Customer Dispute | Denied | $15,273.30 | $0.00 | See FINRA Report |
| Benjamin E Kehl | 3088674 | 1 | 01/11/2018 | Customer Dispute | Settled | $60,000.00 | $0.00 | See FINRA Report |
| Richard Louis Durnwald | 2740185 | 1 | 12/07/2017 | Customer Dispute | Denied | $19,609.10 | $0.00 | See FINRA Report |