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 |
|---|---|---|---|---|---|---|---|---|
| Sharon A Yoder | 4920053 | 2 | 06/14/2021 | Customer Dispute | Denied | $10,000.00 | $0.00 | See FINRA Report |
| Douglas Stockton | 6485595 | 4 | 05/14/2021 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Andrew F Babitz | 7048116 | 1 | 05/14/2021 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Julie Ann Colbert | 1980813 | 1 | 04/22/2021 | Customer Dispute | Denied | $496,802.00 | $0.00 | See FINRA Report |
| Micayla Lynn Murphy | 6854393 | 1 | 04/06/2021 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Peter Rudolf Harnisch | 2456806 | 2 | 02/17/2021 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Michel Marie Legrand | 2006235 | 1 | 01/26/2021 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Louis Daniel Pietig | 5566390 | 1 | 12/17/2020 | Customer Dispute | Denied | $88,167.00 | $0.00 | See FINRA Report |
| Alfred R Schor | 5634240 | 1 | 12/17/2020 | Customer Dispute | Denied | $75,741.90 | $0.00 | See FINRA Report |
| Spencer Matthew Hershey | 5680229 | 1 | 09/16/2020 | Customer Dispute | Denied | $5,051.85 | $0.00 | See FINRA Report |