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 |
|---|---|---|---|---|---|---|---|---|
| Nathan Thomas Kruse | 5664612 | 1 | 12/07/2006 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jeffrey John O Brien | 2582620 | 43 | 12/06/2006 | Customer Dispute | Settled | $1,084,440.00 | $0.00 | See FINRA Report |
| Jeffrey John O Brien | 2582620 | 43 | 11/29/2006 | Customer Dispute | Settled | $1,627,280.00 | $0.00 | See FINRA Report |
| Jeffrey John O Brien | 2582620 | 43 | 11/29/2006 | Customer Dispute | Settled | $181,523.00 | $0.00 | See FINRA Report |
| Michael William Lewis | 2803388 | 1 | 11/22/2006 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jeffrey John O Brien | 2582620 | 43 | 11/21/2006 | Customer Dispute | Settled | $155,683.00 | $0.00 | See FINRA Report |
| Jeffrey John O Brien | 2582620 | 43 | 11/20/2006 | Customer Dispute | Settled | $1,542,580.00 | $0.00 | See FINRA Report |
| Jeffrey John O Brien | 2582620 | 43 | 11/17/2006 | Customer Dispute | Settled | $57,000.00 | $0.00 | See FINRA Report |
| Jeffrey John O Brien | 2582620 | 43 | 11/17/2006 | Customer Dispute | Settled | $528,398.00 | $0.00 | See FINRA Report |
| Daniel Kamal Penaranda | 6130299 | 3 | 11/15/2006 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |