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 |
|---|---|---|---|---|---|---|---|---|
| Casey Peterson | 6481220 | 1 | 06/14/2024 | Customer Dispute | Closed-No Action | $45,000.00 | $0.00 | See FINRA Report |
| Brad H Davidoff | 4860150 | 1 | 06/05/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David M Turturro | 7319919 | 1 | 06/05/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Andrew David Laforce | 5785709 | 1 | 06/04/2024 | Customer Dispute | Denied | $138,647.00 | $0.00 | See FINRA Report |
| Aaron Morgan Bell | 5432615 | 1 | 06/03/2024 | Customer Dispute | Pending | $124,000.00 | $0.00 | See FINRA Report |
| James W Pruitt | 5808107 | 1 | 06/03/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Matthew Kenneth Joiner | 6848740 | 1 | 06/03/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michael Mildrum | 6606286 | 1 | 05/22/2024 | Customer Dispute | Closed-No Action | $15,000.00 | $0.00 | See FINRA Report |
| Mark A Hamilton | 6800598 | 1 | 05/20/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Eugene Shkolnikov | 4218121 | 1 | 05/16/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |