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 |
|---|---|---|---|---|---|---|---|---|
| Daniel Frost | 6326717 | 2 | 08/01/2016 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Emil Nguyen | 7059643 | 8 | 07/27/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ann Michelle Lautz | 2699423 | 1 | 07/25/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Douglas Stockton | 6485595 | 4 | 07/25/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Alberto Bolanos | 5494259 | 1 | 07/22/2016 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Robert Jordan Asel | 5225057 | 7 | 07/20/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Nicholas Russo | 6987978 | 3 | 07/19/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Waidean Nathaniel | 2105700 | 8 | 07/12/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jeffrey Alan Novak | 4246978 | 1 | 07/07/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Laura Ashley Allen | 4527860 | 1 | 07/05/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |