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 |
|---|---|---|---|---|---|---|---|---|
| Charles Carey Shook | 703127 | 1 | 10/08/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Scott Preston Underwood | 2206763 | 4 | 08/29/2002 | Customer Dispute | Denied | $63,165.00 | $0.00 | See FINRA Report |
| Christian Dill | 2168406 | 1 | 07/19/2002 | Customer Dispute | Denied | $8,512.38 | $0.00 | See FINRA Report |
| Peter Owens Cox | 2301678 | 1 | 07/13/2002 | Customer Dispute | Denied | $8,000.00 | $0.00 | See FINRA Report |
| David Alan Knox | 2565576 | 3 | 06/20/2002 | Customer Dispute | Denied | $21,280.00 | $0.00 | See FINRA Report |
| Michael Peter Formella | 1866986 | 1 | 05/16/2002 | Customer Dispute | Denied | $19,846.50 | $0.00 | See FINRA Report |
| Michael Anthony Searock | 2061400 | 1 | 01/23/2002 | Customer Dispute | Denied | $6,000.00 | $0.00 | See FINRA Report |
| Bao Chau Le Klemm | 2593549 | 1 | 01/16/2002 | Customer Dispute | Denied | $8,732.61 | $0.00 | See FINRA Report |
| John R Isaac | 1820762 | 1 | 11/09/2001 | Customer Dispute | Denied | $9,083.41 | $0.00 | See FINRA Report |
| Saede Paul Maleki | 2158902 | 2 | 05/04/2001 | Customer Dispute | Denied | $56,184.40 | $0.00 | See FINRA Report |