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 |
|---|---|---|---|---|---|---|---|---|
| Ruben Levisman | 5716117 | 3 | 02/15/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Gene Allen Larock | 2065604 | 2 | 11/01/1998 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John William Schwind | 5116912 | 1 | 10/24/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Glenn Henri Perrault | 6110714 | 2 | 09/28/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Adam Michael Silverman | 6720753 | 1 | 08/12/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Michael Krutsch | 2205324 | 1 | 07/01/1998 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Chad Emmett Colton | 5433644 | 1 | 06/07/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Bruce Hendley | 1219950 | 4 | 05/15/1998 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| William F McKernan | 4615214 | 5 | 03/16/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Sandra J Koenig | 6061704 | 3 | 03/12/1998 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |