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 |
|---|---|---|---|---|---|---|---|---|
| Eileen Rhynes Hardy | 5237871 | 1 | 07/22/2009 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Shawn Francis Kelley | 2904132 | 2 | 07/20/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Tomo Tomohiko | 4917103 | 2 | 07/03/2009 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Kevin Arthur Whitmore | 5907896 | 1 | 06/29/2009 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| David Marvin Griffith | 2856609 | 1 | 05/21/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Cindy L Gunawan | 4801153 | 3 | 05/20/2009 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Michael D Johnson | 6470114 | 1 | 05/14/2009 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Matthew Anthony Pemberton | 1192822 | 1 | 05/06/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Todd David Deamicis | 3263889 | 2 | 05/04/2009 | Customer Dispute | Denied | $12,000.00 | $0.00 | See FINRA Report |
| Brian James Ferrette | 5514587 | 2 | 04/22/2009 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |