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 |
|---|---|---|---|---|---|---|---|---|
| Ryan Michael Hall | 7616815 | 3 | 04/24/2006 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Adam Keith Ellis | 5364603 | 1 | 02/19/2006 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Daniel Kamal Penaranda | 6130299 | 3 | 11/30/2005 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John Martin Couric | 5613913 | 1 | 10/24/2005 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jeremy Cole Sarby | 6596600 | 2 | 10/01/2005 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jessica H Ponder | 6277866 | 1 | 09/21/2005 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Eubank | 7864466 | 1 | 09/12/2005 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| David Paul Rasak | 6119442 | 4 | 08/08/2005 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Nicholas Michael Bellamy | 5959864 | 1 | 07/31/2005 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jeremy Cole Sarby | 6596600 | 2 | 06/21/2005 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |