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 |
|---|---|---|---|---|---|---|---|---|
| Matthew James McLean | 4440326 | 1 | 11/21/2008 | Customer Dispute | Denied | $7,000.00 | $0.00 | See FINRA Report |
| Jason Earl Newsome | 4679199 | 1 | 09/26/2008 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Ann M Younk | 2831085 | 1 | 05/29/2008 | Customer Dispute | Denied | $8,000.00 | $0.00 | See FINRA Report |
| Jay Douglas Gilberg | 2854806 | 1 | 04/28/2008 | Customer Dispute | Denied | $216,844.00 | $0.00 | See FINRA Report |
| Timothy Thomas Edbrooke | 2372554 | 1 | 04/16/2008 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| David Joseph Spiess | 2609710 | 2 | 04/15/2008 | Customer Dispute | Denied | $91,757.00 | $0.00 | See FINRA Report |
| John Edward Beckley | 2482447 | 1 | 02/04/2008 | Customer Dispute | Denied | $20,000.00 | $0.00 | See FINRA Report |
| David Joseph Horne | 1621400 | 4 | 12/13/2007 | Customer Dispute | Denied | $6,000.00 | $0.00 | See FINRA Report |
| Hanniel Chege Nduati | 2712233 | 6 | 08/23/2007 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Michael William Lewis | 2803388 | 1 | 11/22/2006 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |