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 |
|---|---|---|---|---|---|---|---|---|
| Hanniel Chege Nduati | 2712233 | 6 | 03/10/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michael A Kuperman | 6898142 | 1 | 02/28/2010 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Ryan Michael Hall | 7616815 | 3 | 02/27/2010 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Gene Allen Larock | 2065604 | 2 | 02/25/2010 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Hanniel Chege Nduati | 2712233 | 6 | 02/24/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jared Taylor Wirsig | 4683886 | 1 | 02/11/2010 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Richard Albert Koob | 273771 | 2 | 02/01/2010 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Adam Scott Goetzka | 6255915 | 1 | 01/29/2010 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jared Scott Davis | 5008801 | 1 | 01/15/2010 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Sandi Jo Goddard | 2029865 | 1 | 12/15/2009 | Customer Dispute | Denied | $10,000.00 | $0.00 | See FINRA Report |