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 |
|---|---|---|---|---|---|---|---|---|
| Cristina Aleman | 6734209 | 1 | 10/27/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Patrick Andrew Case | 6707710 | 3 | 10/26/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Patrick Andrew Case | 6707710 | 3 | 10/26/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Matthew Michael Anderson | 6199576 | 1 | 10/25/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Patrick Lee Matthews | 4544703 | 1 | 10/19/2016 | Customer Dispute | Denied | $140,000.00 | $0.00 | See FINRA Report |
| Michael D Morgan | 4364988 | 4 | 10/18/2016 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Patrick Andrew Case | 6707710 | 3 | 10/18/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Todd David Deamicis | 3263889 | 2 | 10/14/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Brandon Decker | 6948188 | 3 | 10/09/2016 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Lucas McLaughlin | 5897417 | 1 | 10/06/2016 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |