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 |
|---|---|---|---|---|---|---|---|---|
| Scott Thomas Penning | 2252909 | 4 | 02/27/2003 | Customer Dispute | Settled | $75,000.00 | $0.00 | See FINRA Report |
| Tommy Carl Gish | 1020813 | 1 | 02/19/2003 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| James Edwin Whistler | 600296 | 2 | 02/18/2003 | Customer Dispute | Denied | $134,000.00 | $0.00 | See FINRA Report |
| Joseph Adam Small | 2369056 | 1 | 02/10/2003 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jason Harold Hinamon | 2807842 | 1 | 01/24/2003 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Robert Emery Heiderman | 836513 | 1 | 01/15/2003 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Sean Kenton Miller | 2618288 | 1 | 01/14/2003 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Douglas Ray Leiker | 3232897 | 1 | 01/14/2003 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Steven Alan Tennant | 2804023 | 1 | 01/13/2003 | Customer Dispute | Denied | $40,000.00 | $0.00 | See FINRA Report |
| David Katz | 1948917 | 1 | 01/10/2003 | Customer Dispute | Settled | $5,268.00 | $0.00 | See FINRA Report |