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 |
|---|---|---|---|---|---|---|---|---|
| David Yousefzadeh | 5661720 | 1 | 05/10/2016 | Customer Dispute | Settled | $5,001.00 | $0.00 | See FINRA Report |
| Mitchell Charles Barnes | 1742859 | 2 | 04/14/2016 | Customer Dispute | Settled | $810,497.00 | $0.00 | See FINRA Report |
| Donna Gribben Carrillo | 1056969 | 1 | 01/19/2016 | Customer Dispute | Settled | $9,800.00 | $0.00 | See FINRA Report |
| David Alan Knox | 2565576 | 3 | 10/09/2015 | Customer Dispute | Settled | $148,000.00 | $0.00 | See FINRA Report |
| Ashley G Wilson | 3012696 | 1 | 10/07/2015 | Customer Dispute | Settled | $148,000.00 | $0.00 | See FINRA Report |
| Anne K Franklin | 4434257 | 1 | 05/18/2015 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Christopher Michael Sevak | 4039476 | 2 | 03/09/2015 | Customer Dispute | Settled | $40,000.00 | $0.00 | See FINRA Report |
| Nicholas Edward Moes | 5787291 | 1 | 12/26/2014 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Henry Gunter Hodo Walburn | 3118405 | 1 | 09/16/2014 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Justin D Wanek | 5192265 | 1 | 10/11/2013 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |