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 |
|---|---|---|---|---|---|---|---|---|
| John Hughes Scott | 5007096 | 1 | 09/10/2003 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Raymond Courtney Torres Salas | 6413546 | 3 | 08/22/2003 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Brett Dustin Riggs | 7515886 | 1 | 03/24/2003 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Meredith Lauren Deeley | 7272072 | 1 | 03/10/2003 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jesse Garza | 7259155 | 2 | 02/28/2003 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Dan Nho Nguyen | 4896570 | 1 | 01/08/2003 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Ryan Blaha | 6389714 | 1 | 12/10/2002 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Joseph Michael Harrington | 6860242 | 4 | 12/05/2002 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Wade Timothy Harrington | 6463293 | 1 | 11/27/2002 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Nung Chung Hu | 6416172 | 1 | 09/10/2002 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |