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 Garland Lipscomb | 1371451 | 6 | 07/18/2002 | Customer Dispute | Settled | $26,414.60 | $0.00 | See FINRA Report |
| Peter Owens Cox | 2301678 | 1 | 07/13/2002 | Customer Dispute | Denied | $8,000.00 | $0.00 | See FINRA Report |
| Tomika N Holland | 4499423 | 6 | 07/12/2002 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Ryan Patrick Gargaro | 5720189 | 1 | 06/23/2002 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| David Alan Knox | 2565576 | 3 | 06/20/2002 | Customer Dispute | Denied | $21,280.00 | $0.00 | See FINRA Report |
| Michael Peter Formella | 1866986 | 1 | 05/16/2002 | Customer Dispute | Denied | $19,846.50 | $0.00 | See FINRA Report |
| Seth S Weinstein | 5006615 | 1 | 04/18/2002 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Anthony Zara | 2166093 | 4 | 03/22/2002 | Customer Dispute | Settled | $26,000.00 | $0.00 | See FINRA Report |
| Allen Paul Gardner Brown | 2541746 | 2 | 02/12/2002 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| David Alan Knox | 2565576 | 3 | 02/06/2002 | Customer Dispute | Closed-No Action | $33,958.20 | $0.00 | See FINRA Report |