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 |
|---|---|---|---|---|---|---|---|---|
| Allen Michael Wolfe | 6321605 | 5 | 05/31/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jairo V Rodriguez | 1532037 | 6 | 05/29/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Richard Earl Tinker | 6427064 | 3 | 05/22/2019 | Customer Dispute | Settled | $881,000.00 | $0.00 | See FINRA Report |
| Karl Dettmann | 5790711 | 2 | 05/15/2019 | Customer Dispute | Settled | $15,280.00 | $0.00 | See FINRA Report |
| Paul Christopher Richards | 1133596 | 2 | 05/07/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Portia Lynn Perkins | 7681580 | 1 | 05/07/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Merle Erpelding | 1709152 | 1 | 05/06/2019 | Customer Dispute | Closed-No Action | $37,000.00 | $0.00 | See FINRA Report |
| Jairo V Rodriguez | 1532037 | 6 | 05/02/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Daniel James Bound | 4451492 | 3 | 05/01/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Patrick Francis Knapp | 6320280 | 2 | 04/30/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |