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 |
|---|---|---|---|---|---|---|---|---|
| Cody R Smith | 7111729 | 1 | 08/02/2022 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Blake Allen Martin | 5433850 | 2 | 07/07/2022 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Monica Sinha | 3234116 | 4 | 06/03/2022 | Customer Dispute | Settled | $167,075.00 | $0.00 | See FINRA Report |
| Jeffrey Bruce Kantar | 2442053 | 2 | 05/27/2022 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Todd Allen Leightey | 4409118 | 1 | 04/25/2022 | Customer Dispute | Settled | $10,365.50 | $0.00 | See FINRA Report |
| James Taylor Davis | 6646090 | 2 | 03/16/2022 | Customer Dispute | Settled | $31,862.00 | $0.00 | See FINRA Report |
| Gerald Joseph Donovan | 2553238 | 2 | 01/13/2022 | Customer Dispute | Settled | $81,374.00 | $0.00 | See FINRA Report |
| Blake A Crousore | 5067309 | 1 | 01/04/2022 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Louis Nathan Sachs | 6148951 | 1 | 12/09/2021 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Gary Steven Wolfe | 1979358 | 3 | 10/26/2021 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |