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 |
|---|---|---|---|---|---|---|---|---|
| Hanniel Chege Nduati | 2712233 | 6 | 02/24/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Tomo Tomohiko | 4917103 | 2 | 12/07/2009 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Randall Neil Elam | 1338449 | 2 | 11/23/2009 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Russell Dean Jenkins | 1036145 | 1 | 09/30/2009 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Wilhelmina Cherry | 3138289 | 2 | 09/24/2009 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Greg Sorge | 6060486 | 3 | 09/15/2009 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Matthew Patrick Sullivan | 5476954 | 4 | 08/20/2009 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| John C Morecraft | 4663379 | 4 | 08/01/2009 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Eileen Rhynes Hardy | 5237871 | 1 | 07/22/2009 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Tomo Tomohiko | 4917103 | 2 | 07/03/2009 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |