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 |
|---|---|---|---|---|---|---|---|---|
| Timothy Thomas Edbrooke | 2372554 | 1 | 04/16/2008 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| David Joseph Spiess | 2609710 | 2 | 04/15/2008 | Customer Dispute | Denied | $91,757.00 | $0.00 | See FINRA Report |
| Shadis Tiedemann | 5984489 | 1 | 04/08/2008 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| David Cawley | 6203184 | 2 | 03/20/2008 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| David Cawley | 6203184 | 2 | 03/20/2008 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| William Langston Laury | 5081969 | 5 | 03/03/2008 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Shinya Turley | 7256244 | 1 | 02/25/2008 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Hollee S Kier | 3234167 | 1 | 02/21/2008 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Bruce Hendley | 1219950 | 4 | 02/08/2008 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John Edward Beckley | 2482447 | 1 | 02/04/2008 | Customer Dispute | Denied | $20,000.00 | $0.00 | See FINRA Report |