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 |
|---|---|---|---|---|---|---|---|---|
| Michael E Phipps | 2359861 | 2 | 02/11/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Stephanie Sue Berger | 4359886 | 2 | 02/11/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michael C Smith | 6424227 | 3 | 02/03/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Christopher Jacob Schenkel | 4627022 | 1 | 01/22/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jeremy J Ripperger | 5078094 | 1 | 01/22/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Christopher Scipione | 6961117 | 1 | 01/21/2015 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Clifford Andrew Paulson | 7309642 | 1 | 01/21/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Tihana Medic | 6872608 | 4 | 01/16/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Clinton Matthew Rinehart | 4535648 | 2 | 01/09/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Clinton Matthew Rinehart | 4535648 | 2 | 01/09/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |