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 |
|---|---|---|---|---|---|---|---|---|
| Francis Joseph Gingras | 222176 | 2 | 10/12/1992 | Customer Dispute | Award / Judgment | $100,000.00 | $100,000.00 | See FINRA Report |
| Gerald Rezin Mann | 2653916 | 4 | 01/01/1990 | Customer Dispute | Settled | $58,000.00 | $0.00 | See FINRA Report |