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 |
|---|---|---|---|---|---|---|---|---|
| Derek Francis Lyght | 6512122 | 2 | 12/11/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Richard Louis Durnwald | 2740185 | 1 | 12/07/2017 | Customer Dispute | Denied | $19,609.10 | $0.00 | See FINRA Report |
| Patrick Ross Olsen | 5283245 | 7 | 12/07/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Luray Spencer Bucholtz | 6949995 | 5 | 11/29/2017 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Robert J Roy | 5181919 | 1 | 11/28/2017 | Customer Dispute | Denied | $7,262.60 | $0.00 | See FINRA Report |
| Carrie Ann Wolak | 5894718 | 7 | 11/27/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jennifer A Hyde | 4960610 | 4 | 11/21/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Charles Gerard Morrongiello | 3041406 | 4 | 11/16/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Bryan W Brehm | 5056772 | 1 | 11/09/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Gary William Britto | 1970691 | 4 | 11/07/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |