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 |
|---|---|---|---|---|---|---|---|---|
| Anne K Franklin | 4434257 | 1 | 05/18/2015 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Christopher Michael Sevak | 4039476 | 2 | 03/09/2015 | Customer Dispute | Settled | $40,000.00 | $0.00 | See FINRA Report |
| Nicholas Edward Moes | 5787291 | 1 | 12/26/2014 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Jeffrey Bruce Kantar | 2442053 | 2 | 12/23/2014 | Customer Dispute | Denied | $125,000.00 | $0.00 | See FINRA Report |
| Edgar Vega | 5111035 | 1 | 12/16/2014 | Customer Dispute | Denied | $10,105.70 | $0.00 | See FINRA Report |
| John Richard McLaughlin | 1277214 | 1 | 10/08/2014 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Henry Gunter Hodo Walburn | 3118405 | 1 | 09/16/2014 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael John Korinek | 1933873 | 2 | 08/18/2014 | Customer Dispute | Closed-No Action | $5,197.66 | $0.00 | See FINRA Report |
| Bradley R Ernst | 4673794 | 3 | 05/21/2014 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Scott Preston Underwood | 2206763 | 4 | 12/31/2013 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |