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 |
|---|---|---|---|---|---|---|---|---|
| Tomika N Holland | 4499423 | 6 | 02/04/2008 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| James Matthew Foyt | 3152720 | 1 | 01/22/2008 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Mark Pahl Erickson | 1210611 | 2 | 01/10/2008 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Joshua Lynch | 6486140 | 1 | 12/31/2007 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Danaire Taylor | 7792709 | 2 | 12/30/2007 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| David Randall Lester | 3277822 | 2 | 12/18/2007 | Customer Dispute | Settled | $11,000.00 | $0.00 | See FINRA Report |
| David Joseph Horne | 1621400 | 4 | 12/13/2007 | Customer Dispute | Denied | $6,000.00 | $0.00 | See FINRA Report |
| Keith Allen Wagner | 2313696 | 2 | 11/21/2007 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Kent Charles Saemann | 1030342 | 1 | 09/17/2007 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Hanniel Chege Nduati | 2712233 | 6 | 08/23/2007 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |