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 |
|---|---|---|---|---|---|---|---|---|
| Dan Nho Nguyen | 4896570 | 1 | 01/08/2003 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Thomas Garland Lipscomb | 1371451 | 6 | 01/02/2003 | Customer Dispute | Settled | $75,000.00 | $0.00 | See FINRA Report |
| Robert Edward Lee | 2209405 | 1 | 12/30/2002 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| John William Wright | 2426680 | 1 | 12/20/2002 | Customer Dispute | Settled | $112,061.00 | $0.00 | See FINRA Report |
| Todd Gerald McClure | 3208273 | 1 | 12/20/2002 | Customer Dispute | Settled | $112,061.00 | $0.00 | See FINRA Report |
| Charles Lynn Kasper | 3257299 | 1 | 12/20/2002 | Customer Dispute | Settled | $112,061.00 | $0.00 | See FINRA Report |
| Ryan Blaha | 6389714 | 1 | 12/10/2002 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Joseph Michael Harrington | 6860242 | 4 | 12/05/2002 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Wade Timothy Harrington | 6463293 | 1 | 11/27/2002 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Leonard John Gargagliano | 2331826 | 3 | 11/24/2002 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |