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 |
|---|---|---|---|---|---|---|---|---|
| Robert J Roy | 5181919 | 1 | 11/28/2017 | Customer Dispute | Denied | $7,262.60 | $0.00 | See FINRA Report |
| Calvin Michael Finn | 2190788 | 1 | 10/17/2017 | Customer Dispute | Settled | $75,000.00 | $0.00 | See FINRA Report |
| Ryan Eugene Yoder | 2815591 | 1 | 10/02/2017 | Customer Dispute | Denied | $13,342.00 | $0.00 | See FINRA Report |
| Karen F Ricketts | 5302973 | 3 | 08/14/2017 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Daniel Ford Castino | 2196033 | 1 | 07/14/2017 | Customer Dispute | Denied | $87,686.20 | $0.00 | See FINRA Report |
| Ben J Bunfill | 5056294 | 1 | 05/09/2017 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Sean Michael Flynn | 2764641 | 1 | 03/24/2017 | Customer Dispute | Denied | $11,158.20 | $0.00 | See FINRA Report |
| Deborah Holcomb Travis | 1323469 | 1 | 01/24/2017 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jennifer A Hyde | 4960610 | 4 | 01/20/2017 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| John Jay Williamson | 1589558 | 1 | 01/10/2017 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |