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 |
|---|---|---|---|---|---|---|---|---|
| Jay Dee Courtney | 3140204 | 1 | 03/16/2006 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Adam Keith Ellis | 5364603 | 1 | 02/19/2006 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Daniel Kamal Penaranda | 6130299 | 3 | 12/15/2005 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Daniel Kamal Penaranda | 6130299 | 3 | 11/30/2005 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Seth Richard Tracy | 2939517 | 1 | 11/07/2005 | Customer Dispute | Settled | $145,000.00 | $0.00 | See FINRA Report |
| Charles Gerard Morrongiello | 3041406 | 4 | 11/02/2005 | Customer Dispute | Denied | $18,300.00 | $0.00 | See FINRA Report |
| John Martin Couric | 5613913 | 1 | 10/24/2005 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Cullen Edwards Douglass | 2064167 | 1 | 10/24/2005 | Customer Dispute | Settled | $6,000.00 | $0.00 | See FINRA Report |
| Christopher Thomas Clifford | 5681508 | 3 | 10/14/2005 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Reginald Joe | 5415958 | 1 | 10/07/2005 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |