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 |
|---|---|---|---|---|---|---|---|---|
| Jeffrey John O Brien | 2582620 | 43 | 10/23/2006 | Customer Dispute | Settled | $135,000.00 | $0.00 | See FINRA Report |
| Jeffrey John O Brien | 2582620 | 43 | 10/23/2006 | Customer Dispute | Settled | $768,289.00 | $0.00 | See FINRA Report |
| Jeffrey John O Brien | 2582620 | 43 | 10/23/2006 | Customer Dispute | Settled | $531,936.00 | $0.00 | See FINRA Report |
| Gregory Paul Whitford | 2083516 | 1 | 08/26/2006 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| David Alan Shaulson | 1243272 | 1 | 06/13/2006 | Customer Dispute | Settled | $17,753.70 | $0.00 | See FINRA Report |
| Seth Richard Tracy | 2939517 | 1 | 11/07/2005 | Customer Dispute | Settled | $145,000.00 | $0.00 | See FINRA Report |
| Cullen Edwards Douglass | 2064167 | 1 | 10/24/2005 | Customer Dispute | Settled | $6,000.00 | $0.00 | See FINRA Report |
| John Adrian Black | 2188204 | 1 | 10/06/2005 | Customer Dispute | Settled | $28,402.50 | $0.00 | See FINRA Report |
| Scott Thomas Penning | 2252909 | 4 | 10/06/2005 | Customer Dispute | Settled | $47,898.30 | $0.00 | See FINRA Report |
| Michael John Korinek | 1933873 | 2 | 04/29/2005 | Customer Dispute | Settled | $26,880.90 | $0.00 | See FINRA Report |