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 |
|---|---|---|---|---|---|---|---|---|
| John R Isaac | 1820762 | 1 | 11/09/2001 | Customer Dispute | Denied | $9,083.41 | $0.00 | See FINRA Report |
| Roger Lee Vandermus | 1719422 | 2 | 10/25/2001 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Joseph Michael Harrington | 6860242 | 4 | 10/16/2001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Marshall Fields Campbell | 2630141 | 1 | 10/09/2001 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| James Tafolla | 6230697 | 1 | 08/27/2001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Leonard John Gargagliano | 2331826 | 3 | 08/13/2001 | Customer Dispute | Settled | $12,750.80 | $0.00 | See FINRA Report |
| Carl James Velander | 1276111 | 2 | 08/13/2001 | Customer Dispute | Settled | $12,750.80 | $0.00 | See FINRA Report |
| Saede Paul Maleki | 2158902 | 2 | 05/04/2001 | Customer Dispute | Denied | $56,184.40 | $0.00 | See FINRA Report |
| Nathan Mahan | 6313377 | 1 | 04/29/2001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Saede Paul Maleki | 2158902 | 2 | 04/24/2001 | Customer Dispute | Denied | $70,026.80 | $0.00 | See FINRA Report |