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 |
|---|---|---|---|---|---|---|---|---|
| Jeffrey Bruce Kantar | 2442053 | 2 | 12/23/2014 | Customer Dispute | Denied | $125,000.00 | $0.00 | See FINRA Report |
| Edgar Vega | 5111035 | 1 | 12/16/2014 | Customer Dispute | Denied | $10,105.70 | $0.00 | See FINRA Report |
| John Richard McLaughlin | 1277214 | 1 | 10/08/2014 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Bradley R Ernst | 4673794 | 3 | 05/21/2014 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Scott Preston Underwood | 2206763 | 4 | 12/31/2013 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| John Bandy Garwood | 2703896 | 1 | 12/02/2013 | Customer Dispute | Denied | $10,665.10 | $0.00 | See FINRA Report |
| Mathew Barber | 4584822 | 2 | 02/22/2013 | Customer Dispute | Denied | $35,300.00 | $0.00 | See FINRA Report |
| Patrick Thomas Horne | 1489041 | 1 | 02/07/2013 | Customer Dispute | Denied | $9,472.00 | $0.00 | See FINRA Report |
| Kevin Patrick Randall | 5042473 | 1 | 01/08/2013 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| John Henry Groth | 4295806 | 1 | 01/17/2012 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |