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 |
|---|---|---|---|---|---|---|---|---|
| William F McKernan | 4615214 | 5 | 07/30/2008 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Christopher Michael Sevak | 4039476 | 2 | 06/19/2008 | Customer Dispute | Closed-No Action | $24,000.00 | $0.00 | See FINRA Report |
| Michael Bruce Hendley | 1219950 | 4 | 06/13/2008 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Richard Albert Koob | 273771 | 2 | 06/13/2008 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Stephen W Franklin | 5472324 | 2 | 06/13/2008 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Ann M Younk | 2831085 | 1 | 05/29/2008 | Customer Dispute | Denied | $8,000.00 | $0.00 | See FINRA Report |
| Phillip Wilson Schell | 6354919 | 1 | 05/29/2008 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Christopher R Roman | 7228606 | 1 | 04/30/2008 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jay Douglas Gilberg | 2854806 | 1 | 04/28/2008 | Customer Dispute | Denied | $216,844.00 | $0.00 | See FINRA Report |
| Heather N Cousin | 3209746 | 2 | 04/28/2008 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |