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 |
|---|---|---|---|---|---|---|---|---|
| Gerald Joseph Donovan | 2553238 | 2 | 08/09/2006 | Customer Dispute | Denied | $83,779.50 | $0.00 | See FINRA Report |
| Charles Gerard Morrongiello | 3041406 | 4 | 11/02/2005 | Customer Dispute | Denied | $18,300.00 | $0.00 | See FINRA Report |
| Ryan Bowen Smith | 1083647 | 1 | 08/02/2005 | Customer Dispute | Denied | $8,000.00 | $0.00 | See FINRA Report |
| Carl Robert Cox | 3261259 | 1 | 07/12/2005 | Customer Dispute | Denied | $32,388.40 | $0.00 | See FINRA Report |
| James Anthony Zara | 2166093 | 4 | 05/27/2004 | Customer Dispute | Denied | $28,628.00 | $0.00 | See FINRA Report |
| Keith Allen Wagner | 2313696 | 2 | 03/22/2004 | Customer Dispute | Denied | $30,000.00 | $0.00 | See FINRA Report |
| Thomas William Swartout | 2631383 | 2 | 03/11/2004 | Customer Dispute | Denied | $5,906.40 | $0.00 | See FINRA Report |
| Paul Anthony Ludacka | 2966632 | 1 | 10/30/2003 | Customer Dispute | Denied | $10,000.00 | $0.00 | See FINRA Report |
| James Anthony Zara | 2166093 | 4 | 07/28/2003 | Customer Dispute | Denied | $41,929.00 | $0.00 | See FINRA Report |
| Mamie T Sanderson | 2890490 | 1 | 07/22/2003 | Customer Dispute | Denied | $25,000.00 | $0.00 | See FINRA Report |