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 |
|---|---|---|---|---|---|---|---|---|
| Randall Lee Smith | 1644114 | 1 | 07/21/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Alexis Renee Harris | 6800579 | 1 | 07/20/2010 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Heidi Bishop | 4378060 | 1 | 07/07/2010 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Candace Helene Berkman | 3161632 | 6 | 06/29/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michael D Morgan | 4364988 | 4 | 06/23/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| James Edwin Whistler | 600296 | 2 | 06/07/2010 | Customer Dispute | Settled | $37,000.00 | $0.00 | See FINRA Report |
| Greg Sorge | 6060486 | 3 | 05/24/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Nathan Korf | 6722864 | 2 | 05/22/2010 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| David Alan Evans | 6671224 | 1 | 05/20/2010 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Mitchell Charles Barnes | 1742859 | 2 | 05/13/2010 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |