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 | 10/23/2006 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Jeffrey John O Brien | 2582620 | 43 | 10/23/2006 | Customer Dispute | Settled | $618,641.00 | $0.00 | See FINRA Report |
| Jeffrey John O Brien | 2582620 | 43 | 10/23/2006 | Customer Dispute | Settled | $135,000.00 | $0.00 | See FINRA Report |
| Jeffrey John O Brien | 2582620 | 43 | 10/23/2006 | Customer Dispute | Settled | $768,289.00 | $0.00 | See FINRA Report |
| Jeffrey John O Brien | 2582620 | 43 | 10/23/2006 | Customer Dispute | Settled | $531,936.00 | $0.00 | See FINRA Report |
| Joseph Darrell Green | 2805405 | 1 | 10/12/2006 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Walter Roman Pierz | 2115546 | 2 | 09/11/2006 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Danaire Taylor | 7792709 | 2 | 08/28/2006 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Gregory Paul Whitford | 2083516 | 1 | 08/26/2006 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Ryan Michael Hall | 7616815 | 3 | 08/24/2006 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |