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 |
|---|---|---|---|---|---|---|---|---|
| Sandi Jo Goddard | 2029865 | 1 | 12/15/2009 | Customer Dispute | Denied | $10,000.00 | $0.00 | See FINRA Report |
| Peter David Tillinghast | 2903732 | 1 | 10/08/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Shawn Francis Kelley | 2904132 | 2 | 07/20/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| David Marvin Griffith | 2856609 | 1 | 05/21/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Matthew Anthony Pemberton | 1192822 | 1 | 05/06/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Todd David Deamicis | 3263889 | 2 | 05/04/2009 | Customer Dispute | Denied | $12,000.00 | $0.00 | See FINRA Report |
| Daniel Theodore Walker | 1209318 | 1 | 04/20/2009 | Customer Dispute | Denied | $207,168.00 | $0.00 | See FINRA Report |
| Matthew Scott Wunder | 2648078 | 1 | 03/23/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Benjamin J Bowden | 5335701 | 1 | 03/13/2009 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Gregory Todd Mercer | 2622228 | 1 | 03/09/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |