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 |
|---|---|---|---|---|---|---|---|---|
| Thomas William Swartout | 2631383 | 2 | 03/11/2004 | Customer Dispute | Denied | $5,906.40 | $0.00 | See FINRA Report |
| Nicholas James Minich | 7085829 | 1 | 03/06/2004 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Tomika N Holland | 4499423 | 6 | 12/23/2003 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Tim Russell Neumann | 1612471 | 1 | 12/15/2003 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Matthew Dale McDowell | 4961610 | 3 | 11/02/2003 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Paul Anthony Ludacka | 2966632 | 1 | 10/30/2003 | Customer Dispute | Denied | $10,000.00 | $0.00 | See FINRA Report |
| Scott Thomas Penning | 2252909 | 4 | 10/02/2003 | Customer Dispute | Settled | $75,000.00 | $0.00 | See FINRA Report |
| John Hughes Scott | 5007096 | 1 | 09/10/2003 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Raymond Courtney Torres Salas | 6413546 | 3 | 08/22/2003 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Anthony Zara | 2166093 | 4 | 07/28/2003 | Customer Dispute | Denied | $41,929.00 | $0.00 | See FINRA Report |