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 |
|---|---|---|---|---|---|---|---|---|
| Regina Raguini Cable | 6244607 | 1 | 04/27/1991 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Kerry Craig Stroup | 2657157 | 1 | 03/12/1991 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Alessandro Joseph Tronco | 2864416 | 1 | 02/06/1991 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Travis P Stokes | 4711840 | 1 | 11/01/1990 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Mark Pahl Erickson | 1210611 | 2 | 10/23/1990 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Kevin Lawhon | 2681472 | 1 | 02/26/1990 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Gerald Rezin Mann | 2653916 | 4 | 01/01/1990 | Customer Dispute | Settled | $58,000.00 | $0.00 | See FINRA Report |
| Todd Michael Tripp | 4577826 | 1 | 12/28/1989 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Steven J Lynch | 3089723 | 2 | 10/12/1989 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Sean Edwin Westover | 2649742 | 1 | 09/29/1989 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |