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 Alan Grimm | 2450540 | 1 | 02/15/2016 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Donna Gribben Carrillo | 1056969 | 1 | 01/19/2016 | Customer Dispute | Settled | $9,800.00 | $0.00 | See FINRA Report |
| Michael P Torchia | 4867218 | 1 | 11/25/2015 | Customer Dispute | Closed-No Action | $10,000.00 | $0.00 | See FINRA Report |
| Susan C Freeman | 1308708 | 1 | 11/11/2015 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Robert George Dibley | 1914099 | 1 | 10/19/2015 | Customer Dispute | Denied | $11,726.30 | $0.00 | See FINRA Report |
| David Alan Knox | 2565576 | 3 | 10/09/2015 | Customer Dispute | Settled | $148,000.00 | $0.00 | See FINRA Report |
| Ashley G Wilson | 3012696 | 1 | 10/07/2015 | Customer Dispute | Settled | $148,000.00 | $0.00 | See FINRA Report |
| Matthew R Krueger | 4799539 | 2 | 08/31/2015 | Customer Dispute | Denied | $11,391.00 | $0.00 | See FINRA Report |
| Ryan Adam Morgenstern | 5669959 | 2 | 07/06/2015 | Customer Dispute | Denied | $17,000.00 | $0.00 | See FINRA Report |
| Christopher Patrick Slajchert | 2788538 | 1 | 06/02/2015 | Customer Dispute | Denied | $6,000.00 | $0.00 | See FINRA Report |