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 |
|---|---|---|---|---|---|---|---|---|
| Karen F Ricketts | 5302973 | 3 | 01/05/2017 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| David A Deegan | 4761146 | 1 | 01/05/2017 | Customer Dispute | Denied | $18,000.00 | $0.00 | See FINRA Report |
| Loren Li Hsiao | 4381962 | 1 | 12/28/2016 | Customer Dispute | Withdrawn | $6,404.00 | $0.00 | See FINRA Report |
| My-Loan Le Tran | 4253554 | 1 | 12/13/2016 | Customer Dispute | Denied | $81,345.80 | $0.00 | See FINRA Report |
| Brian Malone | 4543626 | 1 | 12/11/2016 | Customer Dispute | Settled | $120,000.00 | $0.00 | See FINRA Report |
| Keith Alan Dragoo | 1209505 | 1 | 11/22/2016 | Customer Dispute | Denied | $6,683.46 | $0.00 | See FINRA Report |
| Patrick Lee Matthews | 4544703 | 1 | 10/19/2016 | Customer Dispute | Denied | $140,000.00 | $0.00 | See FINRA Report |
| Michael D Morgan | 4364988 | 4 | 10/18/2016 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Christopher M Moore | 5535728 | 1 | 09/27/2016 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| David Andrew Sandefer | 3146602 | 1 | 09/12/2016 | Customer Dispute | Closed-No Action | $5,036.97 | $0.00 | See FINRA Report |