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 |
|---|---|---|---|---|---|---|---|---|
| Benjamin Shin Woo Lerche | 6668631 | 5 | 06/26/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Brian James Howard | 4195765 | 1 | 06/25/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Terri Lynn Crowley | 2546319 | 3 | 06/25/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| John C Tortorella | 4694794 | 2 | 06/25/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Laura L Engle | 4863377 | 1 | 06/17/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| David Paul Rasak | 6119442 | 4 | 06/17/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Andrew Collin Franco | 5979381 | 2 | 06/12/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Andrew Collin Franco | 5979381 | 2 | 06/11/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Sarah Suzanne Norman | 5470546 | 5 | 06/10/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Daniel James Bound | 4451492 | 3 | 06/03/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |