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 |
|---|---|---|---|---|---|---|---|---|
| Stephen Christopher Nitti | 1273726 | 1 | 07/29/2010 | Customer Dispute | Settled | $5,837.81 | $0.00 | See FINRA Report |
| James Edwin Whistler | 600296 | 2 | 06/07/2010 | Customer Dispute | Settled | $37,000.00 | $0.00 | See FINRA Report |
| Mitchell Charles Barnes | 1742859 | 2 | 05/13/2010 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Robert A Nuno | 2807643 | 1 | 09/04/2009 | Customer Dispute | Settled | $135,000.00 | $0.00 | See FINRA Report |
| Cindy L Gunawan | 4801153 | 3 | 03/06/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Mathew Barber | 4584822 | 2 | 10/28/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Aaron Bernthal | 4279623 | 1 | 10/14/2008 | Customer Dispute | Settled | $34,000.00 | $0.00 | See FINRA Report |
| David Randall Lester | 3277822 | 2 | 12/18/2007 | Customer Dispute | Settled | $11,000.00 | $0.00 | See FINRA Report |
| William John Krejcarek | 1033044 | 1 | 04/11/2007 | Customer Dispute | Settled | $4,110.15 | $0.00 | See FINRA Report |
| Stephen Douglas Whited | 2062351 | 1 | 03/30/2007 | Customer Dispute | Settled | $8,291.65 | $0.00 | See FINRA Report |