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 |
|---|---|---|---|---|---|---|---|---|
| Todd David Deamicis | 3263889 | 2 | 05/04/2009 | Customer Dispute | Denied | $12,000.00 | $0.00 | See FINRA Report |
| Daniel Theodore Walker | 1209318 | 1 | 04/20/2009 | Customer Dispute | Denied | $207,168.00 | $0.00 | See FINRA Report |
| Matthew Scott Wunder | 2648078 | 1 | 03/23/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Benjamin J Bowden | 5335701 | 1 | 03/13/2009 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Gregory Todd Mercer | 2622228 | 1 | 03/09/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Cindy L Gunawan | 4801153 | 3 | 03/06/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Matthew James McLean | 4440326 | 1 | 11/21/2008 | Customer Dispute | Denied | $7,000.00 | $0.00 | See FINRA Report |
| Mathew Barber | 4584822 | 2 | 10/28/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Aaron Bernthal | 4279623 | 1 | 10/14/2008 | Customer Dispute | Settled | $34,000.00 | $0.00 | See FINRA Report |
| Jason Earl Newsome | 4679199 | 1 | 09/26/2008 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |