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 |
|---|---|---|---|---|---|---|---|---|
| Travis Gregory Vandenberg | 2807088 | 1 | 04/10/2001 | Customer Dispute | Denied | $152,310.00 | $0.00 | See FINRA Report |
| Carmin Robert Vaccaro | 2887272 | 1 | 03/16/2001 | Customer Dispute | Denied | $15,899.50 | $0.00 | See FINRA Report |
| Thomas William Swartout | 2631383 | 2 | 01/12/2001 | Customer Dispute | Settled | $1,133.00 | $0.00 | See FINRA Report |
| Ralph Hamilton Barringer | 1019279 | 2 | 08/18/2000 | Customer Dispute | Settled | $35,996.60 | $0.00 | See FINRA Report |
| Robert Philip Sarnecki | 2085496 | 1 | 08/17/2000 | Customer Dispute | Settled | $12,567.20 | $0.00 | See FINRA Report |
| Francis James Clement | 2850384 | 2 | 06/15/2000 | Customer Dispute | Withdrawn | $322.23 | $0.00 | See FINRA Report |
| Richard Michael Goodman | 2412264 | 1 | 02/08/2000 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| James Robert Stone | 1043237 | 1 | 12/06/1995 | Customer Dispute | Settled | $170,000.00 | $0.00 | See FINRA Report |
| Steven Raymond Maehl | 2128472 | 1 | 12/28/1994 | Customer Dispute | Award / Judgment | $4,625.00 | $2,500.00 | See FINRA Report |
| Robert Bradley Alderfer | 1059398 | 1 | 04/14/1994 | Customer Dispute | Settled | $57,000.00 | $0.00 | See FINRA Report |