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 |
|---|---|---|---|---|---|---|---|---|
| Raymond Courtney Torres Salas | 6413546 | 3 | 04/20/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David Perez | 3220942 | 4 | 04/18/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Daniel P D'Arrigo | 1034478 | 4 | 04/16/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| William H Calloway | 7703576 | 2 | 04/16/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Mitchell Charles Barnes | 1742859 | 2 | 04/14/2016 | Customer Dispute | Settled | $810,497.00 | $0.00 | See FINRA Report |
| Logan D Burns | 6410789 | 13 | 04/08/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Clifford S Webster | 1608351 | 1 | 04/07/2016 | Customer Dispute | Denied | $173,000.00 | $0.00 | See FINRA Report |
| Nathan Dyer Howell | 7816886 | 2 | 04/07/2016 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Stephanie L Fleshman | 5504501 | 1 | 03/31/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Todd M Temple | 4428027 | 1 | 03/29/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |