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 |
|---|---|---|---|---|---|---|---|---|
| Derek Francis Lyght | 6512122 | 2 | 01/04/2022 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Jacob C Hult | 6942299 | 2 | 12/28/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Kathleen M Turner | 1994646 | 5 | 12/23/2021 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Yvonne Chepkemoi Eskinder | 7637223 | 1 | 12/22/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Carl J Serafino | 4581310 | 3 | 12/21/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michael Charles Soyka | 2597510 | 3 | 11/30/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Francis Joseph Gingras | 222176 | 2 | 11/30/2021 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Roger Lee Vandermus | 1719422 | 2 | 11/19/2021 | Customer Dispute | Denied | $9,709.58 | $0.00 | See FINRA Report |
| Brandon Lee Laveaux | 7326136 | 3 | 11/18/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Brandon Lee Laveaux | 7326136 | 3 | 11/18/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |