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 |
|---|---|---|---|---|---|---|---|---|
| Ryan Ned Ainsworth | 5740339 | 1 | 04/01/2024 | Customer Dispute | Settled | $465,000.00 | $0.00 | See FINRA Report |
| Matthew Benjamin Gillette | 5049195 | 1 | 02/26/2024 | Customer Dispute | Settled | $20,438.00 | $0.00 | See FINRA Report |
| Joseph Ward | 7384642 | 1 | 12/27/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Hanna Grichanik | 5491508 | 1 | 11/20/2023 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Joshua Patrick Puccini | 6343689 | 1 | 11/20/2023 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Marcus J Mullen | 7261996 | 1 | 11/13/2023 | Customer Dispute | Settled | $12,000.00 | $0.00 | See FINRA Report |
| Kevin M Regan | 4726798 | 1 | 10/30/2023 | Customer Dispute | Settled | $305,000.00 | $0.00 | See FINRA Report |
| Aaron Matthew Stark | 6631119 | 1 | 10/17/2023 | Customer Dispute | Settled | $15,468.70 | $0.00 | See FINRA Report |
| Terrance Lee Meyer | 5264819 | 1 | 09/15/2023 | Customer Dispute | Settled | $33,000.00 | $0.00 | See FINRA Report |
| Michael Velez | 6953121 | 2 | 07/13/2023 | Customer Dispute | Settled | $32,000.00 | $0.00 | See FINRA Report |