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 |
|---|---|---|---|---|---|---|---|---|
| Monica Sinha | 3234116 | 4 | 01/20/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Gerald Rezin Mann | 2653916 | 4 | 01/19/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Andrew Pronold | 5986746 | 1 | 01/12/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Julian Maurice Pouncy | 5124843 | 1 | 01/01/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Kristy Lyn Hopkins | 2508499 | 1 | 12/13/2011 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Mark Alan Dempsey | 2673496 | 1 | 10/07/2011 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John McLeod White | 5930335 | 1 | 05/24/2011 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Vincent Anthony Chionchio | 805265 | 1 | 04/25/2011 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Monica Sinha | 3234116 | 4 | 02/16/2011 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Andrew Joseph Scarpitti | 5649582 | 3 | 01/12/2011 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |