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 |
|---|---|---|---|---|---|---|---|---|
| Donna Gribben Carrillo | 1056969 | 1 | 01/19/2016 | Customer Dispute | Settled | $9,800.00 | $0.00 | See FINRA Report |
| Sharon A Yoder | 4920053 | 2 | 01/15/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Lauren Taylor Kotras | 5561619 | 1 | 01/08/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ricky David Taylor | 1596514 | 7 | 01/08/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Heath Rose | 3075521 | 1 | 01/04/2016 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Maureen Joy Phelps | 2655448 | 1 | 12/18/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jessica Marie Begley | 7146612 | 1 | 12/11/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michael P Torchia | 4867218 | 1 | 11/25/2015 | Customer Dispute | Closed-No Action | $10,000.00 | $0.00 | See FINRA Report |
| Susan C Freeman | 1308708 | 1 | 11/11/2015 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Brandon Alan Neal | 3176903 | 3 | 11/09/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |