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 |
|---|---|---|---|---|---|---|---|---|
| David Lusso | 7002620 | 1 | 02/05/2002 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Joseph Patrick Collins | 853129 | 1 | 01/28/2002 | Customer Dispute | Withdrawn | $7,025.79 | $0.00 | See FINRA Report |
| Michael Anthony Searock | 2061400 | 1 | 01/23/2002 | Customer Dispute | Denied | $6,000.00 | $0.00 | See FINRA Report |
| Matthew Dale McDowell | 4961610 | 3 | 01/23/2002 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Bao Chau Le Klemm | 2593549 | 1 | 01/16/2002 | Customer Dispute | Denied | $8,732.61 | $0.00 | See FINRA Report |
| Bradley R Ernst | 4673794 | 3 | 01/13/2002 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Leonard John Gargagliano | 2331826 | 3 | 12/11/2001 | Customer Dispute | Withdrawn | $15,200.00 | $0.00 | See FINRA Report |
| Matthew R Olsen | 4599314 | 1 | 12/11/2001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Matthew Robert Farrell | 6151562 | 1 | 11/16/2001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Glenn Eric Black | 2757199 | 1 | 11/15/2001 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |