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 |
|---|---|---|---|---|---|---|---|---|
| James Michael McCarthy | 5115616 | 8 | 03/05/2007 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jennifer Christine Vanderloop | 5054903 | 1 | 02/14/2007 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jeffrey John O Brien | 2582620 | 43 | 02/13/2007 | Customer Dispute | Settled | $60,018.30 | $0.00 | See FINRA Report |
| Dario Bolanos | 5875874 | 1 | 01/19/2007 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Stephen W Franklin | 5472324 | 2 | 01/17/2007 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| John Sangmin Chung | 2449187 | 2 | 01/10/2007 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Dimitrios Kiniris | 3112292 | 4 | 01/10/2007 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jeffrey John O Brien | 2582620 | 43 | 12/12/2006 | Customer Dispute | Settled | $847,203.00 | $0.00 | See FINRA Report |
| Lance Aaron Trammell | 5567424 | 1 | 12/11/2006 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Daniel J O Connor | 5687224 | 1 | 12/09/2006 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |