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 |
|---|---|---|---|---|---|---|---|---|
| Daniel Theodore Walker | 1209318 | 1 | 04/20/2009 | Customer Dispute | Denied | $207,168.00 | $0.00 | See FINRA Report |
| Pamela Gayle Schwanz | 6043049 | 1 | 04/07/2009 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Matthew Scott Wunder | 2648078 | 1 | 03/23/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Benjamin J Bowden | 5335701 | 1 | 03/13/2009 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Gregory Todd Mercer | 2622228 | 1 | 03/09/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Cindy L Gunawan | 4801153 | 3 | 03/06/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Kerri Carnahan | 6544214 | 2 | 02/02/2009 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Veronica Lopez | 6012762 | 4 | 01/21/2009 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Christopher K Snider | 5110309 | 1 | 01/15/2009 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Shawn A Zolcak | 4926983 | 1 | 01/13/2009 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |