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 |
|---|---|---|---|---|---|---|---|---|
| Linda Chan | 5027783 | 1 | 02/01/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Luke James Crapo | 6587511 | 1 | 01/30/2024 | Customer Dispute | Denied | $10,542.00 | $0.00 | See FINRA Report |
| William Langston Laury | 5081969 | 5 | 01/29/2024 | Customer Dispute | Denied | $16,710.10 | $0.00 | See FINRA Report |
| Shaun William Wood | 6679996 | 1 | 01/26/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Teresa Carol Knear Solorzano | 2562067 | 1 | 01/24/2024 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Maureen A Odonnell | 1896357 | 2 | 01/08/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jeri Jeanine Evans | 4868990 | 8 | 01/08/2024 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Joseph Duffy Collins | 7153386 | 1 | 01/08/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Joseph Ward | 7384642 | 1 | 12/27/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Sonya King | 1397578 | 3 | 12/19/2023 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |