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 |
|---|---|---|---|---|---|---|---|---|
| Chad Michael Stubenbort | 6033178 | 1 | 05/12/2010 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Kenneth Allan Fox | 1250914 | 1 | 04/22/2010 | Customer Dispute | Denied | $175,000.00 | $0.00 | See FINRA Report |
| Bradley R Ernst | 4673794 | 3 | 04/22/2010 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Derek S Peterson | 2481531 | 1 | 04/22/2010 | Customer Dispute | Denied | $175,000.00 | $0.00 | See FINRA Report |
| Anthony Joseph Dimeglio | 6075308 | 2 | 04/17/2010 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Nguyen Khoi Tran | 5717280 | 2 | 04/14/2010 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Hanniel Chege Nduati | 2712233 | 6 | 03/26/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Brandon Fleming | 7397142 | 2 | 03/26/2010 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Kevin Patrick O'Rourke | 5673812 | 1 | 03/24/2010 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Walter Furr Putnam | 1274433 | 1 | 03/12/2010 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |