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 |
|---|---|---|---|---|---|---|---|---|
| William John Krejcarek | 1033044 | 1 | 04/11/2007 | Customer Dispute | Settled | $4,110.15 | $0.00 | See FINRA Report |
| Stephen Douglas Whited | 2062351 | 1 | 03/30/2007 | Customer Dispute | Settled | $8,291.65 | $0.00 | See FINRA Report |
| Jeffrey John O Brien | 2582620 | 43 | 02/13/2007 | Customer Dispute | Settled | $60,018.30 | $0.00 | See FINRA Report |
| Jeffrey John O Brien | 2582620 | 43 | 12/12/2006 | Customer Dispute | Settled | $847,203.00 | $0.00 | See FINRA Report |
| Jeffrey John O Brien | 2582620 | 43 | 12/06/2006 | Customer Dispute | Settled | $1,084,440.00 | $0.00 | See FINRA Report |
| Jeffrey John O Brien | 2582620 | 43 | 11/29/2006 | Customer Dispute | Settled | $1,627,280.00 | $0.00 | See FINRA Report |
| Jeffrey John O Brien | 2582620 | 43 | 11/29/2006 | Customer Dispute | Settled | $181,523.00 | $0.00 | See FINRA Report |
| Michael William Lewis | 2803388 | 1 | 11/22/2006 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jeffrey John O Brien | 2582620 | 43 | 11/21/2006 | Customer Dispute | Settled | $155,683.00 | $0.00 | See FINRA Report |
| Jeffrey John O Brien | 2582620 | 43 | 11/20/2006 | Customer Dispute | Settled | $1,542,580.00 | $0.00 | See FINRA Report |