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 Mathews Paul | 1059251 | 1 | 03/06/2013 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Bradley Schmidt Bedell | 2121330 | 1 | 12/06/2012 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Justin Tyler Tate | 5258984 | 1 | 09/12/2012 | Customer Dispute | Settled | $35,000.00 | $0.00 | See FINRA Report |
| Charles T Petersen | 1897462 | 1 | 09/26/2011 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| Robert Leonard Erkel | 1286236 | 1 | 09/12/2011 | Customer Dispute | Settled | $17,000.00 | $0.00 | See FINRA Report |
| Clyde James Reasner | 1457788 | 1 | 08/22/2011 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Steven Martin Moats | 3101966 | 1 | 08/01/2011 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Matthew Thomas Russo | 2779373 | 1 | 04/13/2011 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Lynn Sheryl Simon | 1951798 | 1 | 04/13/2011 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Scott Randall Sweet | 2999770 | 1 | 09/29/2010 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |