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 |
|---|---|---|---|---|---|---|---|---|
| William Langston Laury | 5081969 | 5 | 04/21/2023 | Customer Dispute | Settled | $55,029.00 | $0.00 | See FINRA Report |
| Tek R Wiegert | 4921197 | 1 | 04/06/2023 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Rajesh Kantilal Shah | 6710348 | 1 | 04/06/2023 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Foti Chrystopher Kanos | 5163431 | 1 | 04/04/2023 | Customer Dispute | Settled | $400,000.00 | $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 |
| Arthur Korsun | 4306061 | 1 | 04/22/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Gerald Joseph Donovan | 2553238 | 2 | 01/13/2022 | Customer Dispute | Settled | $81,374.00 | $0.00 | See FINRA Report |