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 |
|---|---|---|---|---|---|---|---|---|
| Alejandro Hurtado | 4707736 | 1 | 01/05/2009 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Matthew James McLean | 4440326 | 1 | 11/21/2008 | Customer Dispute | Denied | $7,000.00 | $0.00 | See FINRA Report |
| Spencer Lawrence Way | 4059416 | 1 | 11/07/2008 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Mathew Barber | 4584822 | 2 | 10/28/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Aaron Bernthal | 4279623 | 1 | 10/14/2008 | Customer Dispute | Settled | $34,000.00 | $0.00 | See FINRA Report |
| Jason Earl Newsome | 4679199 | 1 | 09/26/2008 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| James Humpherson Mollett | 4725433 | 1 | 09/13/2008 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Joshua Steven Albert | 6158094 | 1 | 08/27/2008 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Richard Earl Tinker | 6427064 | 3 | 08/18/2008 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Veronica Lopez | 6012762 | 4 | 08/14/2008 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |