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 |
|---|---|---|---|---|---|---|---|---|
| Carl Dicesare | 5041586 | 1 | 12/22/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| David John Worobec | 5448040 | 1 | 12/20/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Michael McCarthy | 5115616 | 8 | 11/29/1999 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Kevin P Hoy | 5088895 | 1 | 11/28/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Michael McCarthy | 5115616 | 8 | 11/18/1999 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Scott Allen Carr | 1783157 | 3 | 11/02/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Paul Seymour Stadfeld | 5788050 | 2 | 10/16/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Michael McCarthy | 5115616 | 8 | 10/12/1999 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Douglas Stockton | 6485595 | 4 | 07/26/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jason R Beck | 6169473 | 1 | 06/26/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |