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 |
|---|---|---|---|---|---|---|---|---|
| Hanna Grichanik | 5491508 | 1 | 11/20/2023 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Joshua Patrick Puccini | 6343689 | 1 | 11/20/2023 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Marcus J Mullen | 7261996 | 1 | 11/13/2023 | Customer Dispute | Settled | $12,000.00 | $0.00 | See FINRA Report |
| Brad Andrew Nelson | 4779912 | 1 | 11/07/2023 | Customer Dispute | Denied | $5,800.59 | $0.00 | See FINRA Report |
| Kevin M Regan | 4726798 | 1 | 10/30/2023 | Customer Dispute | Settled | $305,000.00 | $0.00 | See FINRA Report |
| Steven Allan Bohm | 1199416 | 1 | 10/26/2023 | Customer Dispute | Denied | $6,900.00 | $0.00 | See FINRA Report |
| Aaron Matthew Stark | 6631119 | 1 | 10/17/2023 | Customer Dispute | Settled | $15,468.70 | $0.00 | See FINRA Report |
| Joshua Mark Eisenberg | 5137724 | 1 | 10/13/2023 | Customer Dispute | Denied | $155,052.00 | $0.00 | See FINRA Report |
| Christopher David Myers | 2870873 | 1 | 09/29/2023 | Customer Dispute | Denied | $14,692.00 | $0.00 | See FINRA Report |
| Ian Maxwell Gordon | 6042051 | 1 | 09/22/2023 | Customer Dispute | Denied | $5,374.00 | $0.00 | See FINRA Report |