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 |
|---|---|---|---|---|---|---|---|---|
| John Geraci | 4338430 | 1 | 01/06/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| John Sangmin Chung | 2449187 | 2 | 01/01/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Nicholas Edward Moes | 5787291 | 1 | 12/26/2014 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Jeffrey Bruce Kantar | 2442053 | 2 | 12/23/2014 | Customer Dispute | Denied | $125,000.00 | $0.00 | See FINRA Report |
| Janet Goodling Barry | 5962925 | 1 | 12/23/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Edgar Vega | 5111035 | 1 | 12/16/2014 | Customer Dispute | Denied | $10,105.70 | $0.00 | See FINRA Report |
| Todd Rowe Zaeske | 2764895 | 2 | 12/09/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Shawn R Mazander | 5787776 | 2 | 12/09/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Monica Ann Rodriguez | 6770668 | 1 | 12/01/2014 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Charles Gerard Morrongiello | 3041406 | 4 | 11/25/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |