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 |
|---|---|---|---|---|---|---|---|---|
| Samuel Charlton Dowdy | 4831588 | 1 | 06/14/2011 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Candace Helene Berkman | 3161632 | 6 | 06/08/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| John McLeod White | 5930335 | 1 | 05/24/2011 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Vincent Anthony Chionchio | 805265 | 1 | 04/25/2011 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Charles Gerard Morrongiello | 3041406 | 4 | 04/22/2011 | Judgment / Lien | $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 |
| Gary Myrl Rademaker | 7013422 | 1 | 04/10/2011 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Daniel P D'Arrigo | 1034478 | 4 | 04/08/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Kenneth Jerome Lathan | 7055480 | 1 | 03/19/2011 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |