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 |
|---|---|---|---|---|---|---|---|---|
| Anthony Rockwell Myers | 3051219 | 1 | 05/10/2023 | Customer Dispute | Denied | $8,375.00 | $0.00 | See FINRA Report |
| Luke Stanley Anderson | 5491701 | 1 | 05/10/2023 | Customer Dispute | Denied | $8,375.00 | $0.00 | See FINRA Report |
| Jonathan Paul Lenahan | 7420125 | 7 | 05/10/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Peter Rudolf Harnisch | 2456806 | 2 | 05/09/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jonathan Paul Lenahan | 7420125 | 7 | 05/08/2023 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Michael Phillipson | 5164025 | 1 | 05/02/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| William Langston Laury | 5081969 | 5 | 04/21/2023 | Customer Dispute | Settled | $55,029.00 | $0.00 | See FINRA Report |
| John Quinn Hogan | 1100687 | 1 | 04/18/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Stephen Arthur Graham | 5527133 | 1 | 04/18/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| George Ranyard Allen | 2143736 | 1 | 04/17/2023 | Customer Dispute | Closed-No Action | $13,000.00 | $0.00 | See FINRA Report |