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 |
|---|---|---|---|---|---|---|---|---|
| Tomo Tomohiko | 4917103 | 2 | 12/07/2009 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Larry Joseph Steele | 1284628 | 1 | 11/23/2009 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Randall Neil Elam | 1338449 | 2 | 11/23/2009 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michael Difillippo | 7305030 | 1 | 11/23/2009 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Andrew Michael Greenfield | 5938516 | 1 | 11/22/2009 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Mark Edwin Wise | 3256936 | 2 | 11/20/2009 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Walter Zabrowski | 7365843 | 1 | 11/05/2009 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Peter David Tillinghast | 2903732 | 1 | 10/08/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Todd Rowe Zaeske | 2764895 | 2 | 10/06/2009 | Customer Dispute | Closed-No Action | $6,000.00 | $0.00 | See FINRA Report |
| Ramon Enrique Rodriguez | 7263612 | 1 | 10/06/2009 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |