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 |
|---|---|---|---|---|---|---|---|---|
| Richard James Wick | 6248114 | 1 | 05/12/2022 | Customer Dispute | Denied | $8,338.92 | $0.00 | See FINRA Report |
| John C Morecraft | 4663379 | 4 | 05/10/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jeri Jeanine Evans | 4868990 | 8 | 04/30/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Brandi Alisha Hydleburg | 6658042 | 1 | 04/29/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Todd Allen Leightey | 4409118 | 1 | 04/25/2022 | Customer Dispute | Settled | $10,365.50 | $0.00 | See FINRA Report |
| Kathleen M Turner | 1994646 | 5 | 04/25/2022 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Arthur Korsun | 4306061 | 1 | 04/22/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Chantel Bonneau Stewart | 5689233 | 1 | 04/20/2022 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Matthew P Demartin | 7333252 | 1 | 04/15/2022 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Terrance David Lumpkins | 4710748 | 3 | 04/08/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |