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 |
|---|---|---|---|---|---|---|---|---|
| Ryan Ned Ainsworth | 5740339 | 1 | 04/01/2024 | Customer Dispute | Settled | $465,000.00 | $0.00 | See FINRA Report |
| Karen Irene Schmidt | 5669963 | 2 | 03/11/2024 | Customer Dispute | Pending | $400,000.00 | $0.00 | See FINRA Report |
| Matthew Benjamin Gillette | 5049195 | 1 | 02/26/2024 | Customer Dispute | Settled | $20,438.00 | $0.00 | See FINRA Report |
| Timothy John Molnar | 1487964 | 2 | 02/06/2024 | Customer Dispute | Closed-No Action | $30,000.00 | $0.00 | See FINRA Report |
| Phillip A Pickett | 4739154 | 1 | 02/05/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Paul Peterson | 1333145 | 1 | 02/05/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Jose Torres | 6330848 | 1 | 02/02/2024 | Customer Dispute | Closed-No Action | $9,993.00 | $0.00 | See FINRA Report |
| Luke James Crapo | 6587511 | 1 | 01/30/2024 | Customer Dispute | Denied | $10,542.00 | $0.00 | See FINRA Report |
| William Langston Laury | 5081969 | 5 | 01/29/2024 | Customer Dispute | Denied | $16,710.10 | $0.00 | See FINRA Report |
| Joseph Ward | 7384642 | 1 | 12/27/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |