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 |
|---|---|---|---|---|---|---|---|---|
| Matthew Thomas Sweeney | 5185303 | 1 | 11/07/2000 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jordan M Zamzow | 6730361 | 1 | 10/28/2000 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Nguyen Khoi Tran | 5717280 | 2 | 09/29/2000 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Robert Francis Obernesser | 2110836 | 2 | 08/31/2000 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Ralph Hamilton Barringer | 1019279 | 2 | 08/18/2000 | Customer Dispute | Settled | $35,996.60 | $0.00 | See FINRA Report |
| Robert Philip Sarnecki | 2085496 | 1 | 08/17/2000 | Customer Dispute | Settled | $12,567.20 | $0.00 | See FINRA Report |
| Blake Allen Martin | 5433850 | 2 | 07/28/2000 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Francis James Clement | 2850384 | 2 | 06/15/2000 | Customer Dispute | Withdrawn | $322.23 | $0.00 | See FINRA Report |
| Adam Grabisch | 4713735 | 1 | 05/18/2000 | Civil Bond | $0.00 | $0.00 | See FINRA Report | |
| Russell J Cahill | 3046261 | 1 | 05/03/2000 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |