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 |
|---|---|---|---|---|---|---|---|---|
| Stephen Christopher Strum | 6095636 | 1 | 02/07/2023 | Customer Dispute | Denied | $12,079.30 | $0.00 | See FINRA Report |
| Robert Allan Roth | 1156736 | 1 | 01/19/2023 | Customer Dispute | Denied | $13,116.30 | $0.00 | See FINRA Report |
| Richard Bryce Coffee | 5753169 | 1 | 12/07/2022 | Customer Dispute | Denied | $27,000.00 | $0.00 | See FINRA Report |
| Mehrdad H Mehdizadehtabrizi | 6502411 | 1 | 12/07/2022 | Customer Dispute | Denied | $27,000.00 | $0.00 | See FINRA Report |
| Julian Puga | 6313369 | 2 | 11/10/2022 | Customer Dispute | Denied | $11,692.70 | $0.00 | See FINRA Report |
| Michael David Dean | 6406677 | 1 | 09/26/2022 | Customer Dispute | Denied | $50,000.00 | $0.00 | See FINRA Report |
| Jason David Bertram | 3257243 | 1 | 07/05/2022 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Gary M Shickora | 5594429 | 1 | 06/22/2022 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Philip Faruk Adra | 5695907 | 1 | 06/03/2022 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |
| Steven Michael Doebber | 4423344 | 1 | 05/20/2022 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |