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 |
|---|---|---|---|---|---|---|---|---|
| Blake A Crousore | 5067309 | 1 | 01/04/2022 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Derek Francis Lyght | 6512122 | 2 | 01/04/2022 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Scott Allen Royal | 1801461 | 2 | 06/22/2021 | Customer Dispute | Settled | $6,000,000.00 | $0.00 | See FINRA Report |
| Scott S Niekamp | 3277810 | 7 | 04/28/2021 | Customer Dispute | Settled | $5,000,000.00 | $0.00 | See FINRA Report |
| John William Skoog | 4433357 | 1 | 04/22/2021 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Kyle G Cunningham | 5681204 | 1 | 08/12/2020 | Customer Dispute | Settled | $13,000.00 | $0.00 | See FINRA Report |
| Nicholas M Junta | 4529794 | 1 | 07/21/2020 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Timothy John Molnar | 1487964 | 2 | 04/15/2020 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Adam Benjamin Heath | 4523926 | 1 | 03/16/2020 | Customer Dispute | Settled | $32,021.80 | $0.00 | See FINRA Report |
| Matthew F Riech | 5697874 | 1 | 02/25/2020 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |