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 |
|---|---|---|---|---|---|---|---|---|
| Gerald Joseph Donovan | 2553238 | 2 | 01/13/2022 | Customer Dispute | Settled | $81,374.00 | $0.00 | See FINRA Report |
| Blake A Crousore | 5067309 | 1 | 01/04/2022 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Derek Francis Lyght | 6512122 | 2 | 01/04/2022 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Francis Joseph Gingras | 222176 | 2 | 11/30/2021 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Roger Lee Vandermus | 1719422 | 2 | 11/19/2021 | Customer Dispute | Denied | $9,709.58 | $0.00 | See FINRA Report |
| Ryan R Wobig | 6471322 | 1 | 09/21/2021 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Scott Allen Royal | 1801461 | 2 | 06/22/2021 | Customer Dispute | Settled | $6,000,000.00 | $0.00 | See FINRA Report |
| Sharon A Yoder | 4920053 | 2 | 06/14/2021 | Customer Dispute | Denied | $10,000.00 | $0.00 | See FINRA Report |
| Douglas Stockton | 6485595 | 4 | 05/14/2021 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Andrew F Babitz | 7048116 | 1 | 05/14/2021 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |