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 A Lankford | 5360228 | 3 | 08/07/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Dimitrios Kiniris | 3112292 | 4 | 08/02/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Emil Nguyen | 7059643 | 8 | 07/31/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Laura Bounnhaseng | 6202174 | 1 | 07/17/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Daniel Ford Castino | 2196033 | 1 | 07/14/2017 | Customer Dispute | Denied | $87,686.20 | $0.00 | See FINRA Report |
| Jeremy Steven Goulet | 6741558 | 1 | 06/28/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Roy Ramon Cambronero | 6489579 | 3 | 06/26/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Marcus J Hunter | 6579804 | 5 | 06/22/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Andrew Anderson | 6552248 | 1 | 06/21/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Carlos Rafael Lovera | 7257499 | 1 | 06/15/2017 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |