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 |
|---|---|---|---|---|---|---|---|---|
| Gerald Joseph Donovan | 2553238 | 2 | 08/09/2006 | Customer Dispute | Denied | $83,779.50 | $0.00 | See FINRA Report |
| James Derrick Kaiser | 5488065 | 1 | 08/05/2006 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Katie Renae Cornell | 5985349 | 2 | 07/24/2006 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Katie Renae Cornell | 5985349 | 2 | 06/29/2006 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Brandon D McIntyre | 5501813 | 1 | 06/14/2006 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| David Alan Shaulson | 1243272 | 1 | 06/13/2006 | Customer Dispute | Settled | $17,753.70 | $0.00 | See FINRA Report |
| Nathan Korf | 6722864 | 2 | 05/28/2006 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Christopher Richard Ardoin | 5853777 | 1 | 05/22/2006 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Mitchell William McNeil | 5509042 | 1 | 04/30/2006 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Ryan Michael Hall | 7616815 | 3 | 04/24/2006 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |