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 |
|---|---|---|---|---|---|---|---|---|
| William F McKernan | 4615214 | 5 | 01/10/1997 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Daniel Joseph Rooney | 4795727 | 1 | 11/02/1996 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Robert Francis Obernesser | 2110836 | 2 | 09/06/1996 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Kimberly K Poeckes | 6368885 | 1 | 08/14/1996 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Cynthia Renee Huber | 3025451 | 2 | 08/01/1996 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Alma Sucic | 7259202 | 1 | 06/06/1996 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Aaron Waxberg | 3007507 | 1 | 05/31/1996 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Larry William Little | 3096701 | 1 | 04/12/1996 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Leonard Claude Wright | 2845304 | 1 | 01/01/1996 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Nicole Ann Cantrill | 4574931 | 1 | 12/18/1995 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |