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 |
|---|---|---|---|---|---|---|---|---|
| Michael A Lankford | 5360228 | 3 | 08/16/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michael A Lankford | 5360228 | 3 | 08/11/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michael A Lankford | 5360228 | 3 | 08/07/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Dimitrios Kiniris | 3112292 | 4 | 08/02/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jalene Lynn van Epps | 6883093 | 1 | 03/27/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Joseph Thomas Ferrier | 5651903 | 4 | 02/27/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Mark Allan Staat | 1572403 | 8 | 01/04/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Wesley J Petteway | 6302320 | 3 | 11/18/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Cristina Aleman | 6734209 | 1 | 10/27/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Patrick Ross Olsen | 5283245 | 7 | 09/30/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |