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 |
|---|---|---|---|---|---|---|---|---|
| Brent Ryan Burke | 2650357 | 2 | 11/15/2002 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John Eugene Kompaniez | 2799270 | 2 | 10/22/2002 | Customer Dispute | Denied | $14,500.00 | $0.00 | See FINRA Report |
| John Franklin Barnes | 2305370 | 1 | 10/11/2002 | Customer Dispute | Denied | $110,000.00 | $0.00 | See FINRA Report |
| Charles Carey Shook | 703127 | 1 | 10/08/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Nung Chung Hu | 6416172 | 1 | 09/10/2002 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Gordon Peter Gruenes | 2125644 | 1 | 08/29/2002 | Customer Dispute | Settled | $16,902.30 | $0.00 | See FINRA Report |
| Scott Preston Underwood | 2206763 | 4 | 08/29/2002 | Customer Dispute | Denied | $63,165.00 | $0.00 | See FINRA Report |
| David Robert Sebring | 5596226 | 1 | 08/20/2002 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| William F McKernan | 4615214 | 5 | 08/05/2002 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Christian Dill | 2168406 | 1 | 07/19/2002 | Customer Dispute | Denied | $8,512.38 | $0.00 | See FINRA Report |