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 |
|---|---|---|---|---|---|---|---|---|
| David John Triezenberg | 2865216 | 1 | 10/24/1992 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Thomas Bell Morris | 4778773 | 1 | 10/15/1992 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Steve Boyd Pitel | 7305410 | 9 | 10/10/1992 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Steve Boyd Pitel | 7305410 | 9 | 09/17/1992 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Joy E Laux | 4287739 | 1 | 08/04/1992 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Bryan Christian Hanks | 6770663 | 1 | 06/04/1992 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Christopher Todd Hoover | 5570069 | 2 | 04/03/1992 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jimmy H Shin | 3185833 | 1 | 03/26/1992 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Hahn | 4207055 | 1 | 02/14/1992 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Steve Boyd Pitel | 7305410 | 9 | 12/03/1991 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |