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 |
|---|---|---|---|---|---|---|---|---|
| Russell Dean Jenkins | 1036145 | 1 | 09/30/2009 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Wilhelmina Cherry | 3138289 | 2 | 09/24/2009 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Dustin J Kindl | 4820091 | 1 | 09/16/2009 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Greg Sorge | 6060486 | 3 | 09/15/2009 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Robert A Nuno | 2807643 | 1 | 09/04/2009 | Customer Dispute | Settled | $135,000.00 | $0.00 | See FINRA Report |
| Matthew Patrick Sullivan | 5476954 | 4 | 08/20/2009 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Mark Edwin Wise | 3256936 | 2 | 08/19/2009 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John C Morecraft | 4663379 | 4 | 08/01/2009 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Sarah Lynn Carver | 6068111 | 1 | 07/29/2009 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Geoffrey Michael Henderson | 6471326 | 1 | 07/26/2009 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |