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 |
|---|---|---|---|---|---|---|---|---|
| My-Loan Le Tran | 4253554 | 1 | 12/13/2016 | Customer Dispute | Denied | $81,345.80 | $0.00 | See FINRA Report |
| Brian Malone | 4543626 | 1 | 12/11/2016 | Customer Dispute | Settled | $120,000.00 | $0.00 | See FINRA Report |
| Joshua Dorfman | 6330234 | 1 | 12/09/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Keith Alan Dragoo | 1209505 | 1 | 11/22/2016 | Customer Dispute | Denied | $6,683.46 | $0.00 | See FINRA Report |
| Amber Marie Fuller | 6411401 | 1 | 11/21/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Wesley J Petteway | 6302320 | 3 | 11/18/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Gregory Scott Simpson | 2880777 | 1 | 11/16/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Catherine Velazquez | 4499952 | 1 | 10/31/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| David Perez | 3220942 | 4 | 10/30/2016 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Tihana Medic | 6872608 | 4 | 10/28/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |