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 |
|---|---|---|---|---|---|---|---|---|
| Patrick Francis Knapp | 6320280 | 2 | 08/02/2016 | Customer Dispute | Settled | $9,685.65 | $0.00 | See FINRA Report |
| Martin Paul Burch | 5552598 | 1 | 06/08/2016 | Customer Dispute | Settled | $23,315.00 | $0.00 | See FINRA Report |
| Doug Brian Cokinis | 4175037 | 1 | 05/19/2016 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| David Yousefzadeh | 5661720 | 1 | 05/10/2016 | Customer Dispute | Settled | $5,001.00 | $0.00 | See FINRA Report |
| Brandon S Smith | 4835033 | 1 | 04/20/2016 | Customer Dispute | Denied | $25,000.00 | $0.00 | See FINRA Report |
| Mitchell Charles Barnes | 1742859 | 2 | 04/14/2016 | Customer Dispute | Settled | $810,497.00 | $0.00 | See FINRA Report |
| Clifford S Webster | 1608351 | 1 | 04/07/2016 | Customer Dispute | Denied | $173,000.00 | $0.00 | See FINRA Report |
| Nathan Allen Fikse | 5667136 | 1 | 03/28/2016 | Customer Dispute | Denied | $11,000.00 | $0.00 | See FINRA Report |
| Robert P Mohr | 5751709 | 1 | 03/03/2016 | Customer Dispute | Denied | $65,000.00 | $0.00 | See FINRA Report |
| Matthew Tyler Melton | 3057217 | 1 | 02/20/2016 | Customer Dispute | Denied | $16,000.00 | $0.00 | See FINRA Report |