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 |
|---|---|---|---|---|---|---|---|---|
| Jeffrey John O Brien | 2582620 | 43 | 11/14/2006 | Customer Dispute | Settled | $1,464,530.00 | $0.00 | See FINRA Report |
| Jeffrey John O Brien | 2582620 | 43 | 11/14/2006 | Customer Dispute | Settled | $90,000.00 | $0.00 | See FINRA Report |
| Artem A Ivanenko | 7159979 | 1 | 11/11/2006 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jeffrey John O Brien | 2582620 | 43 | 10/31/2006 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Jeffrey John O Brien | 2582620 | 43 | 10/31/2006 | Customer Dispute | Settled | $955,560.00 | $0.00 | See FINRA Report |
| Jeffrey John O Brien | 2582620 | 43 | 10/27/2006 | Customer Dispute | Settled | $1,370,850.00 | $0.00 | See FINRA Report |
| Jeffrey John O Brien | 2582620 | 43 | 10/27/2006 | Customer Dispute | Settled | $3,396,660.00 | $0.00 | See FINRA Report |
| Jeffrey John O Brien | 2582620 | 43 | 10/27/2006 | Customer Dispute | Settled | $748,064.00 | $0.00 | See FINRA Report |
| Jeffrey John O Brien | 2582620 | 43 | 10/27/2006 | Customer Dispute | Settled | $30,000.00 | $0.00 | See FINRA Report |
| Jeffrey John O Brien | 2582620 | 43 | 10/27/2006 | Customer Dispute | Settled | $99,285.00 | $0.00 | See FINRA Report |