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 |
|---|---|---|---|---|---|---|---|---|
| Katherine Mary Ernsting | 6721634 | 1 | 11/29/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Hanna Grichanik | 5491508 | 1 | 11/20/2023 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Joshua Patrick Puccini | 6343689 | 1 | 11/20/2023 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Marcus J Mullen | 7261996 | 1 | 11/13/2023 | Customer Dispute | Settled | $12,000.00 | $0.00 | See FINRA Report |
| Jeri Jeanine Evans | 4868990 | 8 | 11/09/2023 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Joseph Michael Harrington | 6860242 | 4 | 11/08/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Brad Andrew Nelson | 4779912 | 1 | 11/07/2023 | Customer Dispute | Denied | $5,800.59 | $0.00 | See FINRA Report |
| Kevin M Regan | 4726798 | 1 | 10/30/2023 | Customer Dispute | Settled | $305,000.00 | $0.00 | See FINRA Report |
| Steven Allan Bohm | 1199416 | 1 | 10/26/2023 | Customer Dispute | Denied | $6,900.00 | $0.00 | See FINRA Report |
| Patrick Phan | 7062845 | 1 | 10/23/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |