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 |
|---|---|---|---|---|---|---|---|---|
| Sandi Jo Goddard | 2029865 | 1 | 12/15/2009 | Customer Dispute | Denied | $10,000.00 | $0.00 | See FINRA Report |
| Larry Joseph Steele | 1284628 | 1 | 11/23/2009 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Peter David Tillinghast | 2903732 | 1 | 10/08/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Todd Rowe Zaeske | 2764895 | 2 | 10/06/2009 | Customer Dispute | Closed-No Action | $6,000.00 | $0.00 | See FINRA Report |
| Dustin J Kindl | 4820091 | 1 | 09/16/2009 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Robert A Nuno | 2807643 | 1 | 09/04/2009 | Customer Dispute | Settled | $135,000.00 | $0.00 | See FINRA Report |
| Shawn Francis Kelley | 2904132 | 2 | 07/20/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| David Marvin Griffith | 2856609 | 1 | 05/21/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Cindy L Gunawan | 4801153 | 3 | 05/20/2009 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Matthew Anthony Pemberton | 1192822 | 1 | 05/06/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |