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 |
|---|---|---|---|---|---|---|---|---|
| Brandon S Smith | 4835033 | 1 | 04/20/2016 | Customer Dispute | Denied | $25,000.00 | $0.00 | See FINRA Report |
| Clifford S Webster | 1608351 | 1 | 04/07/2016 | Customer Dispute | Denied | $173,000.00 | $0.00 | See FINRA Report |
| Nathan Allen Fikse | 5667136 | 1 | 03/28/2016 | Customer Dispute | Denied | $11,000.00 | $0.00 | See FINRA Report |
| Robert P Mohr | 5751709 | 1 | 03/03/2016 | Customer Dispute | Denied | $65,000.00 | $0.00 | See FINRA Report |
| Matthew Tyler Melton | 3057217 | 1 | 02/20/2016 | Customer Dispute | Denied | $16,000.00 | $0.00 | See FINRA Report |
| Robert Alan Grimm | 2450540 | 1 | 02/15/2016 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Robert George Dibley | 1914099 | 1 | 10/19/2015 | Customer Dispute | Denied | $11,726.30 | $0.00 | See FINRA Report |
| Matthew R Krueger | 4799539 | 2 | 08/31/2015 | Customer Dispute | Denied | $11,391.00 | $0.00 | See FINRA Report |
| Ryan Adam Morgenstern | 5669959 | 2 | 07/06/2015 | Customer Dispute | Denied | $17,000.00 | $0.00 | See FINRA Report |
| Christopher Patrick Slajchert | 2788538 | 1 | 06/02/2015 | Customer Dispute | Denied | $6,000.00 | $0.00 | See FINRA Report |