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 |
|---|---|---|---|---|---|---|---|---|
| Michael Bradley Pelo | 6495817 | 2 | 03/19/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Nicholas Robert Stolp | 6712146 | 1 | 03/19/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Dieuseul G Joseph | 6316166 | 1 | 03/15/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Karl Dettmann | 5790711 | 2 | 03/09/2018 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Scott S Niekamp | 3277810 | 7 | 02/22/2018 | Customer Dispute | Denied | $5,000,000.00 | $0.00 | See FINRA Report |
| Aaron J Heiden | 5928186 | 1 | 02/19/2018 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Scott S Niekamp | 3277810 | 7 | 02/12/2018 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Nicholas Russo | 6987978 | 3 | 02/12/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Daniel Gilbert Snow | 860465 | 5 | 02/12/2018 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Holly Jane Neault | 1983239 | 1 | 02/09/2018 | Customer Dispute | Denied | $15,273.30 | $0.00 | See FINRA Report |