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 |
|---|---|---|---|---|---|---|---|---|
| Pedro S Afonso | 6902899 | 1 | 03/09/2011 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Brandon Fleming | 7397142 | 2 | 03/06/2011 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Monica Sinha | 3234116 | 4 | 02/16/2011 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Patrick Russell Lucas | 1092239 | 2 | 02/14/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Andrew Joseph Scarpitti | 5649582 | 3 | 01/12/2011 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Ricky David Taylor | 1596514 | 7 | 01/11/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Zachary I Alaoui | 6519721 | 1 | 01/11/2011 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Brandon Borello | 7500476 | 1 | 01/06/2011 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael D Morgan | 4364988 | 4 | 01/01/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jaime Lawrence Vavrek | 6211291 | 1 | 11/23/2010 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |