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 |
|---|---|---|---|---|---|---|---|---|
| James Humpherson Mollett | 4725433 | 1 | 09/13/2008 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Christopher Michael Sevak | 4039476 | 2 | 06/19/2008 | Customer Dispute | Closed-No Action | $24,000.00 | $0.00 | See FINRA Report |
| Ann M Younk | 2831085 | 1 | 05/29/2008 | Customer Dispute | Denied | $8,000.00 | $0.00 | See FINRA Report |
| Jay Douglas Gilberg | 2854806 | 1 | 04/28/2008 | Customer Dispute | Denied | $216,844.00 | $0.00 | See FINRA Report |
| Timothy Thomas Edbrooke | 2372554 | 1 | 04/16/2008 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| David Joseph Spiess | 2609710 | 2 | 04/15/2008 | Customer Dispute | Denied | $91,757.00 | $0.00 | See FINRA Report |
| John Edward Beckley | 2482447 | 1 | 02/04/2008 | Customer Dispute | Denied | $20,000.00 | $0.00 | See FINRA Report |
| David Randall Lester | 3277822 | 2 | 12/18/2007 | Customer Dispute | Settled | $11,000.00 | $0.00 | See FINRA Report |
| David Joseph Horne | 1621400 | 4 | 12/13/2007 | Customer Dispute | Denied | $6,000.00 | $0.00 | See FINRA Report |
| Hanniel Chege Nduati | 2712233 | 6 | 08/23/2007 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |