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 |
|---|---|---|---|---|---|---|---|---|
| Mark Graskemper | 7459315 | 2 | 07/08/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Keith Patrick Oney | 7246554 | 1 | 07/07/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ryan Adam Morgenstern | 5669959 | 2 | 07/06/2015 | Customer Dispute | Denied | $17,000.00 | $0.00 | See FINRA Report |
| Roycer Delgado | 6315267 | 1 | 07/03/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Melissa Lee White | 6035318 | 1 | 07/02/2015 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Andrew Joseph Scarpitti | 5649582 | 3 | 07/01/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Kenneth John Tooke | 4445478 | 3 | 06/22/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michael Velez | 6953121 | 2 | 06/19/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Nicholas Russo | 6987978 | 3 | 06/10/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Mark Allan Staat | 1572403 | 8 | 06/09/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |