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 |
|---|---|---|---|---|---|---|---|---|
| Matthew Dale McDowell | 4961610 | 3 | 06/19/2004 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jeffrey S Zalis | 2468939 | 1 | 06/08/2004 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| James Anthony Zara | 2166093 | 4 | 05/27/2004 | Customer Dispute | Denied | $28,628.00 | $0.00 | See FINRA Report |
| Kim S Jones | 4676323 | 1 | 05/20/2004 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Scott Thomas Penning | 2252909 | 4 | 04/21/2004 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Joseph Burdi | 1742582 | 2 | 04/19/2004 | Customer Dispute | Closed-No Action | $8,438.05 | $0.00 | See FINRA Report |
| David Paul Cerny | 2067652 | 1 | 04/05/2004 | Customer Dispute | Settled | $41,683.40 | $0.00 | See FINRA Report |
| Keith Allen Wagner | 2313696 | 2 | 03/22/2004 | Customer Dispute | Denied | $30,000.00 | $0.00 | See FINRA Report |
| Thomas Michael MacK | 2344680 | 1 | 03/17/2004 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Michael David Krisman | 5999154 | 1 | 03/16/2004 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |