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 |
|---|---|---|---|---|---|---|---|---|
| Philip H Pedlow | 4973931 | 6 | 03/16/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Trevor Spiegel | 7346924 | 4 | 03/16/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Allen Paul Gardner Brown | 2541746 | 2 | 03/14/2022 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Zoe Anne Hirsh | 7183700 | 1 | 03/07/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Ryan Charles Brockhaus | 5296530 | 1 | 02/23/2022 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Kelvern Chen | 5679957 | 1 | 02/18/2022 | Customer Dispute | Withdrawn | $500,000.00 | $0.00 | See FINRA Report |
| Taylor L Wiggins | 4655060 | 1 | 02/07/2022 | Customer Dispute | Denied | $40,000.00 | $0.00 | See FINRA Report |
| Gerald Joseph Donovan | 2553238 | 2 | 01/13/2022 | Customer Dispute | Settled | $81,374.00 | $0.00 | See FINRA Report |
| Eugene McKitterick Forsythe | 845722 | 1 | 01/08/2022 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Blake A Crousore | 5067309 | 1 | 01/04/2022 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |