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 |
|---|---|---|---|---|---|---|---|---|
| Edward Givin Holmes | 3265277 | 1 | 03/21/2019 | Customer Dispute | Denied | $760,574.00 | $0.00 | See FINRA Report |
| Benjamin D Gantt | 4757055 | 1 | 02/19/2019 | Customer Dispute | Denied | $7,693.62 | $0.00 | See FINRA Report |
| Joshua Andrew Cohen | 4009637 | 1 | 02/05/2019 | Customer Dispute | Denied | $50,859.30 | $0.00 | See FINRA Report |
| Lee Philip Traibman | 2250192 | 1 | 11/13/2018 | Customer Dispute | Denied | $192,632.00 | $0.00 | See FINRA Report |
| Scott S Niekamp | 3277810 | 7 | 02/22/2018 | Customer Dispute | Denied | $5,000,000.00 | $0.00 | See FINRA Report |
| Holly Jane Neault | 1983239 | 1 | 02/09/2018 | Customer Dispute | Denied | $15,273.30 | $0.00 | See FINRA Report |
| Richard Louis Durnwald | 2740185 | 1 | 12/07/2017 | Customer Dispute | Denied | $19,609.10 | $0.00 | See FINRA Report |
| Robert J Roy | 5181919 | 1 | 11/28/2017 | Customer Dispute | Denied | $7,262.60 | $0.00 | See FINRA Report |
| Ryan Eugene Yoder | 2815591 | 1 | 10/02/2017 | Customer Dispute | Denied | $13,342.00 | $0.00 | See FINRA Report |
| Karen F Ricketts | 5302973 | 3 | 08/14/2017 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |