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 |
|---|---|---|---|---|---|---|---|---|
| Matthew Tyler Melton | 3057217 | 1 | 02/20/2016 | Customer Dispute | Denied | $16,000.00 | $0.00 | See FINRA Report |
| Logan D Burns | 6410789 | 13 | 02/19/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Clara N Koschnitzke Hoffmann | 5755363 | 2 | 02/18/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Alan Grimm | 2450540 | 1 | 02/15/2016 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Robert Jordan Asel | 5225057 | 7 | 02/05/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Shane Patrick Delaney | 4262176 | 2 | 01/29/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Douglas Stockton | 6485595 | 4 | 01/22/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Sujeiry Mejia | 6627680 | 1 | 01/20/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Randall Gilbert Riley | 1031363 | 1 | 01/19/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Dimitrios Kiniris | 3112292 | 4 | 01/19/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |