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 |
|---|---|---|---|---|---|---|---|---|
| Mamie T Sanderson | 2890490 | 1 | 07/22/2003 | Customer Dispute | Denied | $25,000.00 | $0.00 | See FINRA Report |
| James Anthony Zara | 2166093 | 4 | 07/14/2003 | Customer Dispute | Denied | $5,054.00 | $0.00 | See FINRA Report |
| Lee Frank Vandyke | 3121933 | 1 | 07/01/2003 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Garland Lipscomb | 1371451 | 6 | 05/08/2003 | Customer Dispute | Settled | $1,075,000.00 | $0.00 | See FINRA Report |
| Steven J Lynch | 3089723 | 2 | 04/15/2003 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Steven Tucker Greene | 2311545 | 1 | 03/25/2003 | Customer Dispute | Denied | $31,000.00 | $0.00 | See FINRA Report |
| Brett Dustin Riggs | 7515886 | 1 | 03/24/2003 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Meredith Lauren Deeley | 7272072 | 1 | 03/10/2003 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Bruce Hendley | 1219950 | 4 | 03/07/2003 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jesse Garza | 7259155 | 2 | 02/28/2003 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |