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 |
|---|---|---|---|---|---|---|---|---|
| Gerald Rezin Mann | 2653916 | 4 | 03/08/1977 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| David Joseph Horne | 1621400 | 4 | 10/14/1976 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Gerald Rezin Mann | 2653916 | 4 | 06/10/1975 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Stephen Bruce Hailstone | 2000566 | 1 | 06/04/1975 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Robert Arthur Sharpstein | 2460621 | 1 | 02/09/1974 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Ralph Hamilton Barringer | 1019279 | 2 | 12/10/1972 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Thomas Patrick Tulley | 2751700 | 1 | 05/30/1972 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |