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 |
|---|---|---|---|---|---|---|---|---|
| Daniel R Lagerborg | 4606948 | 1 | 06/10/2020 | Customer Dispute | Denied | $50,469.00 | $0.00 | See FINRA Report |
| Kasey Bree Gartner | 4703757 | 1 | 03/30/2020 | Customer Dispute | Denied | $34,000.00 | $0.00 | See FINRA Report |
| Michael Conrad Jacob | 4278135 | 1 | 03/24/2020 | Customer Dispute | Denied | $75,000.00 | $0.00 | See FINRA Report |
| Joseph Burdi | 1742582 | 2 | 03/23/2020 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |
| James Leroy Henneman | 2408674 | 1 | 03/23/2020 | Customer Dispute | Denied | $250,000.00 | $0.00 | See FINRA Report |
| Kolbe Francis Andrade | 6360437 | 1 | 03/20/2020 | Customer Dispute | Denied | $22,028.00 | $0.00 | See FINRA Report |
| Scott Joseph Sernett | 2915860 | 1 | 03/02/2020 | Customer Dispute | Denied | $54,136.20 | $0.00 | See FINRA Report |
| James Michael Anderson | 4280008 | 1 | 02/21/2020 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |
| Thomas Joseph Meehan | 5941394 | 1 | 01/23/2020 | Customer Dispute | Denied | $250,000.00 | $0.00 | See FINRA Report |
| Rob Allan Randels | 2433244 | 1 | 01/16/2020 | Customer Dispute | Denied | $125,703.00 | $0.00 | See FINRA Report |