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 |
|---|---|---|---|---|---|---|---|---|
| Richard James Wick | 6248114 | 1 | 05/12/2022 | Customer Dispute | Denied | $8,338.92 | $0.00 | See FINRA Report |
| Todd Allen Leightey | 4409118 | 1 | 04/25/2022 | Customer Dispute | Settled | $10,365.50 | $0.00 | See FINRA Report |
| Arthur Korsun | 4306061 | 1 | 04/22/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Chantel Bonneau Stewart | 5689233 | 1 | 04/20/2022 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Joseph Darius Montgomery | 6362991 | 1 | 04/07/2022 | Customer Dispute | Denied | $48,437.00 | $0.00 | See FINRA Report |
| Peter Bradbury Egan | 2884105 | 1 | 04/04/2022 | Customer Dispute | Denied | $3,500,000.00 | $0.00 | See FINRA Report |
| Allen Paul Gardner Brown | 2541746 | 2 | 03/14/2022 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Ryan Charles Brockhaus | 5296530 | 1 | 02/23/2022 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Kelvern Chen | 5679957 | 1 | 02/18/2022 | Customer Dispute | Withdrawn | $500,000.00 | $0.00 | See FINRA Report |
| Taylor L Wiggins | 4655060 | 1 | 02/07/2022 | Customer Dispute | Denied | $40,000.00 | $0.00 | See FINRA Report |