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 |
|---|---|---|---|---|---|---|---|---|
| Erik T Whittle | 5185625 | 1 | 09/21/2011 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| David Randall Lester | 3277822 | 2 | 08/12/2011 | Customer Dispute | Denied | $20,000.00 | $0.00 | See FINRA Report |
| Samuel Charlton Dowdy | 4831588 | 1 | 06/14/2011 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Steven Lee Hale | 2670195 | 1 | 10/19/2010 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jessica Michele Butcher Salazar | 4741216 | 1 | 08/27/2010 | Customer Dispute | Denied | $20,409.50 | $0.00 | See FINRA Report |
| Kenneth Allan Fox | 1250914 | 1 | 04/22/2010 | Customer Dispute | Denied | $175,000.00 | $0.00 | See FINRA Report |
| Bradley R Ernst | 4673794 | 3 | 04/22/2010 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Derek S Peterson | 2481531 | 1 | 04/22/2010 | Customer Dispute | Denied | $175,000.00 | $0.00 | See FINRA Report |
| Walter Furr Putnam | 1274433 | 1 | 03/12/2010 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jared Taylor Wirsig | 4683886 | 1 | 02/11/2010 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |