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 |
|---|---|---|---|---|---|---|---|---|
| Richard David Wiley | 5299727 | 1 | 05/25/1995 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Cynthia Renee Huber | 3025451 | 2 | 02/07/1995 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Edward Armstrong | 1243240 | 1 | 08/05/1994 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Ruben Levisman | 5716117 | 3 | 06/24/1994 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Eric Duncan Shumate | 7283819 | 1 | 04/19/1994 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Carmen Leanne Allen | 3243476 | 3 | 04/01/1994 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Lael Speaker | 6023179 | 1 | 01/01/1994 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jason P Faunt | 4805892 | 1 | 11/01/1993 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Steve Boyd Pitel | 7305410 | 9 | 05/11/1993 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John William Avendt | 3190887 | 1 | 03/31/1993 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |