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 |
|---|---|---|---|---|---|---|---|---|
| Steven Alan Tennant | 2804023 | 1 | 01/13/2003 | Customer Dispute | Denied | $40,000.00 | $0.00 | See FINRA Report |
| David Katz | 1948917 | 1 | 01/10/2003 | Customer Dispute | Settled | $5,268.00 | $0.00 | See FINRA Report |
| Thomas Garland Lipscomb | 1371451 | 6 | 01/02/2003 | Customer Dispute | Settled | $75,000.00 | $0.00 | See FINRA Report |
| Robert Edward Lee | 2209405 | 1 | 12/30/2002 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| John William Wright | 2426680 | 1 | 12/20/2002 | Customer Dispute | Settled | $112,061.00 | $0.00 | See FINRA Report |
| Todd Gerald McClure | 3208273 | 1 | 12/20/2002 | Customer Dispute | Settled | $112,061.00 | $0.00 | See FINRA Report |
| Charles Lynn Kasper | 3257299 | 1 | 12/20/2002 | Customer Dispute | Settled | $112,061.00 | $0.00 | See FINRA Report |
| John Eugene Kompaniez | 2799270 | 2 | 10/22/2002 | Customer Dispute | Denied | $14,500.00 | $0.00 | See FINRA Report |
| John Franklin Barnes | 2305370 | 1 | 10/11/2002 | Customer Dispute | Denied | $110,000.00 | $0.00 | See FINRA Report |
| Charles Carey Shook | 703127 | 1 | 10/08/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |