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 |
|---|---|---|---|---|---|---|---|---|
| Maxwell Lloyd | 5705360 | 2 | 11/15/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Brian James Ferrette | 5514587 | 2 | 10/26/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Timothy Tully Whalen | 1005750 | 1 | 10/25/2010 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Steven Lee Hale | 2670195 | 1 | 10/19/2010 | Customer Dispute | Denied | $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 |
| Henry Horta | 5522252 | 3 | 09/06/2010 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David W Wright | 5924542 | 1 | 08/27/2010 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jessica Michele Butcher Salazar | 4741216 | 1 | 08/27/2010 | Customer Dispute | Denied | $20,409.50 | $0.00 | See FINRA Report |
| Bo Khounhack Khamphanthong | 7625757 | 1 | 08/05/2010 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Stephen Christopher Nitti | 1273726 | 1 | 07/29/2010 | Customer Dispute | Settled | $5,837.81 | $0.00 | See FINRA Report |