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 |
|---|---|---|---|---|---|---|---|---|
| Terri Lynn Crowley | 2546319 | 3 | 08/11/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Scott S Niekamp | 3277810 | 7 | 08/02/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Terrance David Lumpkins | 4710748 | 3 | 07/27/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| James Ray Goodrich | 830597 | 1 | 07/19/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| John A Dimatteo | 7293220 | 3 | 07/14/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Arturo Rodriguez | 7455774 | 1 | 07/13/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Henry Horta | 5522252 | 3 | 07/06/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Aaron Poreda | 6937121 | 1 | 07/02/2021 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Scott Allen Royal | 1801461 | 2 | 06/22/2021 | Customer Dispute | Settled | $6,000,000.00 | $0.00 | See FINRA Report |
| Sharon A Yoder | 4920053 | 2 | 06/14/2021 | Customer Dispute | Denied | $10,000.00 | $0.00 | See FINRA Report |