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 |
|---|---|---|---|---|---|---|---|---|
| Emil Nguyen | 7059643 | 8 | 10/30/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Jordan Asel | 5225057 | 7 | 10/29/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Alexey Bobrovnikov | 6460837 | 2 | 10/28/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Matthew Charles Ferrell | 6590959 | 1 | 10/27/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Alexey Bobrovnikov | 6460837 | 2 | 10/23/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Neil Omaque | 7555832 | 1 | 10/23/2015 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Robert George Dibley | 1914099 | 1 | 10/19/2015 | Customer Dispute | Denied | $11,726.30 | $0.00 | See FINRA Report |
| Emil Nguyen | 7059643 | 8 | 10/19/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Corey Thomas Creel | 7126050 | 1 | 10/15/2015 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Marshall S Wood | 4635045 | 4 | 10/12/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |