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 |
|---|---|---|---|---|---|---|---|---|
| Charles Gerard Morrongiello | 3041406 | 4 | 11/02/2005 | Customer Dispute | Denied | $18,300.00 | $0.00 | See FINRA Report |
| Cullen Edwards Douglass | 2064167 | 1 | 10/24/2005 | Customer Dispute | Settled | $6,000.00 | $0.00 | See FINRA Report |
| John Adrian Black | 2188204 | 1 | 10/06/2005 | Customer Dispute | Settled | $28,402.50 | $0.00 | See FINRA Report |
| Scott Thomas Penning | 2252909 | 4 | 10/06/2005 | Customer Dispute | Settled | $47,898.30 | $0.00 | See FINRA Report |
| Ryan Bowen Smith | 1083647 | 1 | 08/02/2005 | Customer Dispute | Denied | $8,000.00 | $0.00 | See FINRA Report |
| Carl Robert Cox | 3261259 | 1 | 07/12/2005 | Customer Dispute | Denied | $32,388.40 | $0.00 | See FINRA Report |
| Clinton Harry Blood | 855260 | 1 | 06/06/2005 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Michael John Korinek | 1933873 | 2 | 04/29/2005 | Customer Dispute | Settled | $26,880.90 | $0.00 | See FINRA Report |
| James Anthony Zara | 2166093 | 4 | 05/27/2004 | Customer Dispute | Denied | $28,628.00 | $0.00 | See FINRA Report |
| Scott Thomas Penning | 2252909 | 4 | 04/21/2004 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |