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 |
|---|---|---|---|---|---|---|---|---|
| Chris Mark Glasscock | 4136563 | 1 | 12/16/1995 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Robert Stone | 1043237 | 1 | 12/06/1995 | Customer Dispute | Settled | $170,000.00 | $0.00 | See FINRA Report |
| Jonathan Michael Rubin | 5696367 | 1 | 11/27/1995 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Christopher Todd Hoover | 5570069 | 2 | 11/02/1995 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Brian M Cox | 4760404 | 1 | 10/07/1995 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Wong | 7750249 | 1 | 08/02/1995 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jordan Stephen Smith | 5567101 | 3 | 07/17/1995 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Kevin Anthony Tarkington | 2298746 | 2 | 07/12/1995 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Richard David Wiley | 5299727 | 1 | 05/25/1995 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Cynthia Renee Huber | 3025451 | 2 | 02/07/1995 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |