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 |
|---|---|---|---|---|---|---|---|---|
| Robert Allan Roth | 1156736 | 1 | 01/19/2023 | Customer Dispute | Denied | $13,116.30 | $0.00 | See FINRA Report |
| Keith Volk Llanas | 4992666 | 2 | 01/16/2023 | Customer Dispute | Closed-No Action | $100,000.00 | $0.00 | See FINRA Report |
| Richard Bryce Coffee | 5753169 | 1 | 12/07/2022 | Customer Dispute | Denied | $27,000.00 | $0.00 | See FINRA Report |
| Mehrdad H Mehdizadehtabrizi | 6502411 | 1 | 12/07/2022 | Customer Dispute | Denied | $27,000.00 | $0.00 | See FINRA Report |
| Brian Joel Blasczyk | 5784857 | 1 | 11/28/2022 | Customer Dispute | Withdrawn | $130,000.00 | $0.00 | See FINRA Report |
| Ryan C Lawrence | 5913287 | 1 | 11/21/2022 | Customer Dispute | Closed-No Action | $11,000.00 | $0.00 | See FINRA Report |
| Julian Puga | 6313369 | 2 | 11/10/2022 | Customer Dispute | Denied | $11,692.70 | $0.00 | See FINRA Report |
| Matthew Carl Leopold | 2680993 | 1 | 10/26/2022 | Customer Dispute | Closed-No Action | $150,000.00 | $0.00 | See FINRA Report |
| Michael David Dean | 6406677 | 1 | 09/26/2022 | Customer Dispute | Denied | $50,000.00 | $0.00 | See FINRA Report |
| Blake Allen Martin | 5433850 | 2 | 07/07/2022 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |