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 |
|---|---|---|---|---|---|---|---|---|
| John William Wright | 2426680 | 1 | 12/20/2002 | Customer Dispute | Settled | $112,061.00 | $0.00 | See FINRA Report |
| Todd Gerald McClure | 3208273 | 1 | 12/20/2002 | Customer Dispute | Settled | $112,061.00 | $0.00 | See FINRA Report |
| Charles Lynn Kasper | 3257299 | 1 | 12/20/2002 | Customer Dispute | Settled | $112,061.00 | $0.00 | See FINRA Report |
| Gordon Peter Gruenes | 2125644 | 1 | 08/29/2002 | Customer Dispute | Settled | $16,902.30 | $0.00 | See FINRA Report |
| Thomas Garland Lipscomb | 1371451 | 6 | 07/18/2002 | Customer Dispute | Settled | $26,414.60 | $0.00 | See FINRA Report |
| James Anthony Zara | 2166093 | 4 | 03/22/2002 | Customer Dispute | Settled | $26,000.00 | $0.00 | See FINRA Report |
| Leonard John Gargagliano | 2331826 | 3 | 08/13/2001 | Customer Dispute | Settled | $12,750.80 | $0.00 | See FINRA Report |
| Carl James Velander | 1276111 | 2 | 08/13/2001 | Customer Dispute | Settled | $12,750.80 | $0.00 | See FINRA Report |
| Thomas William Swartout | 2631383 | 2 | 01/12/2001 | Customer Dispute | Settled | $1,133.00 | $0.00 | See FINRA Report |
| Ralph Hamilton Barringer | 1019279 | 2 | 08/18/2000 | Customer Dispute | Settled | $35,996.60 | $0.00 | See FINRA Report |