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 |
|---|---|---|---|---|---|---|---|---|
| Michael Stephan Slabic | 2885893 | 1 | 07/15/2024 | Customer Dispute | Denied | $286,339.00 | $0.00 | See FINRA Report |
| Andrew David Laforce | 5785709 | 1 | 06/04/2024 | Customer Dispute | Denied | $138,647.00 | $0.00 | See FINRA Report |
| Andrew Carlson Gillespie | 6563626 | 1 | 04/22/2024 | Customer Dispute | Denied | $6,953.00 | $0.00 | See FINRA Report |
| Luke James Crapo | 6587511 | 1 | 01/30/2024 | Customer Dispute | Denied | $10,542.00 | $0.00 | See FINRA Report |
| William Langston Laury | 5081969 | 5 | 01/29/2024 | Customer Dispute | Denied | $16,710.10 | $0.00 | See FINRA Report |
| Brad Andrew Nelson | 4779912 | 1 | 11/07/2023 | Customer Dispute | Denied | $5,800.59 | $0.00 | See FINRA Report |
| Steven Allan Bohm | 1199416 | 1 | 10/26/2023 | Customer Dispute | Denied | $6,900.00 | $0.00 | See FINRA Report |
| Joshua Mark Eisenberg | 5137724 | 1 | 10/13/2023 | Customer Dispute | Denied | $155,052.00 | $0.00 | See FINRA Report |
| Christopher David Myers | 2870873 | 1 | 09/29/2023 | Customer Dispute | Denied | $14,692.00 | $0.00 | See FINRA Report |
| Ian Maxwell Gordon | 6042051 | 1 | 09/22/2023 | Customer Dispute | Denied | $5,374.00 | $0.00 | See FINRA Report |