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 |
|---|---|---|---|---|---|---|---|---|
| Yuqing Lin | 5939096 | 2 | 04/03/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Ryan Ned Ainsworth | 5740339 | 1 | 04/01/2024 | Customer Dispute | Settled | $465,000.00 | $0.00 | See FINRA Report |
| Tara Scalia Quilty | 3018242 | 1 | 04/01/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Benjamin Scott Taylor | 6506363 | 2 | 03/20/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Edward Johnson | 2363510 | 2 | 03/20/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Joseph Kevin Mathesen | 5799049 | 2 | 03/20/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jonathan Paul Lenahan | 7420125 | 7 | 03/15/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Matthew Steven Cesari | 5742785 | 1 | 03/14/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Karen Irene Schmidt | 5669963 | 2 | 03/11/2024 | Customer Dispute | Pending | $400,000.00 | $0.00 | See FINRA Report |
| Maureen A Odonnell | 1896357 | 2 | 03/04/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |