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 |
|---|---|---|---|---|---|---|---|---|
| John William Avendt | 3190887 | 1 | 03/31/1993 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jerry Raymond Prather | 1175647 | 1 | 03/25/1993 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Scott Allen Royal | 1801461 | 2 | 11/03/1992 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David John Triezenberg | 2865216 | 1 | 10/24/1992 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Thomas Bell Morris | 4778773 | 1 | 10/15/1992 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Francis Joseph Gingras | 222176 | 2 | 10/12/1992 | Customer Dispute | Award / Judgment | $100,000.00 | $100,000.00 | See FINRA Report |
| Steve Boyd Pitel | 7305410 | 9 | 10/10/1992 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Steve Boyd Pitel | 7305410 | 9 | 09/17/1992 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Joy E Laux | 4287739 | 1 | 08/04/1992 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Bryan Christian Hanks | 6770663 | 1 | 06/04/1992 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |