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 |
|---|---|---|---|---|---|---|---|---|
| Joseph Darius Montgomery | 6362991 | 1 | 04/07/2022 | Customer Dispute | Denied | $48,437.00 | $0.00 | See FINRA Report |
| Sarah Suzanne Norman | 5470546 | 5 | 04/07/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Peter Bradbury Egan | 2884105 | 1 | 04/04/2022 | Customer Dispute | Denied | $3,500,000.00 | $0.00 | See FINRA Report |
| Trevor Spiegel | 7346924 | 4 | 04/01/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Timothy Foshee | 7635136 | 2 | 04/01/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Derek Oster | 7519395 | 1 | 03/29/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Joseph Thomas Ferrier | 5651903 | 4 | 03/28/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Sonya King | 1397578 | 3 | 03/25/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jesse Devin Ziegler | 4989885 | 2 | 03/24/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Kathleen M Turner | 1994646 | 5 | 03/17/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |