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 |
|---|---|---|---|---|---|---|---|---|
| Roberto Santos Nespereira | 1719361 | 1 | 04/12/2001 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Steven Alan Somerman | 1006178 | 1 | 04/12/2001 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Travis Gregory Vandenberg | 2807088 | 1 | 04/10/2001 | Customer Dispute | Denied | $152,310.00 | $0.00 | See FINRA Report |
| Eric Paul Barber | 4705367 | 2 | 03/23/2001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Baruch Levi | 2402678 | 1 | 03/20/2001 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Carmin Robert Vaccaro | 2887272 | 1 | 03/16/2001 | Customer Dispute | Denied | $15,899.50 | $0.00 | See FINRA Report |
| Nikki M Regina | 4849508 | 1 | 02/10/2001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Timothy Carroll | 5763804 | 1 | 01/29/2001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Thomas William Swartout | 2631383 | 2 | 01/12/2001 | Customer Dispute | Settled | $1,133.00 | $0.00 | See FINRA Report |
| Kraig Smith Stockdale | 2603714 | 1 | 01/04/2001 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |