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 |
|---|---|---|---|---|---|---|---|---|
| Jason David Bertram | 3257243 | 1 | 07/05/2022 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Gary M Shickora | 5594429 | 1 | 06/22/2022 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Alap Balkrishna Patel | 5061206 | 1 | 06/16/2022 | Customer Dispute | Withdrawn | $600,000.00 | $0.00 | See FINRA Report |
| Erik R Gomez | 4997320 | 1 | 06/08/2022 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Philip Faruk Adra | 5695907 | 1 | 06/03/2022 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |
| Monica Sinha | 3234116 | 4 | 06/03/2022 | Customer Dispute | Settled | $167,075.00 | $0.00 | See FINRA Report |
| Jeffrey Bruce Kantar | 2442053 | 2 | 05/27/2022 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Jonathan Paul Hamby | 5061374 | 1 | 05/23/2022 | Customer Dispute | Closed-No Action | $45,000.00 | $0.00 | See FINRA Report |
| Steven Michael Doebber | 4423344 | 1 | 05/20/2022 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| David Anson Girola | 5661148 | 1 | 05/16/2022 | Customer Dispute | Denied | $60,000.00 | $0.00 | See FINRA Report |