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 |
|---|---|---|---|---|---|---|---|---|
| Robert Philip Sarnecki | 2085496 | 1 | 08/17/2000 | Customer Dispute | Settled | $12,567.20 | $0.00 | See FINRA Report |
| Richard Michael Goodman | 2412264 | 1 | 02/08/2000 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| James Robert Stone | 1043237 | 1 | 12/06/1995 | Customer Dispute | Settled | $170,000.00 | $0.00 | See FINRA Report |
| Robert Bradley Alderfer | 1059398 | 1 | 04/14/1994 | Customer Dispute | Settled | $57,000.00 | $0.00 | See FINRA Report |
| Gerald Rezin Mann | 2653916 | 4 | 01/01/1990 | Customer Dispute | Settled | $58,000.00 | $0.00 | See FINRA Report |