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 Anthony Zara | 2166093 | 4 | 07/14/2003 | Customer Dispute | Denied | $5,054.00 | $0.00 | See FINRA Report |
| Thomas Garland Lipscomb | 1371451 | 6 | 05/08/2003 | Customer Dispute | Settled | $1,075,000.00 | $0.00 | See FINRA Report |
| Steven J Lynch | 3089723 | 2 | 04/15/2003 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Steven Tucker Greene | 2311545 | 1 | 03/25/2003 | Customer Dispute | Denied | $31,000.00 | $0.00 | See FINRA Report |
| Scott Thomas Penning | 2252909 | 4 | 02/27/2003 | Customer Dispute | Settled | $75,000.00 | $0.00 | See FINRA Report |
| James Edwin Whistler | 600296 | 2 | 02/18/2003 | Customer Dispute | Denied | $134,000.00 | $0.00 | See FINRA Report |
| Jason Harold Hinamon | 2807842 | 1 | 01/24/2003 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Robert Emery Heiderman | 836513 | 1 | 01/15/2003 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Sean Kenton Miller | 2618288 | 1 | 01/14/2003 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Douglas Ray Leiker | 3232897 | 1 | 01/14/2003 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |