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 |
|---|---|---|---|---|---|---|---|---|
| Christopher Mark Pritchard | 6006991 | 1 | 08/15/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Catherine Rose | 7338552 | 2 | 07/30/2014 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Owen Devillers | 2030783 | 1 | 07/15/2014 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David W Green | 5926869 | 2 | 07/15/2014 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Patrick Ross Olsen | 5283245 | 7 | 07/14/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Waidean Nathaniel | 2105700 | 8 | 07/02/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Sawyer C Green | 7522208 | 3 | 06/23/2014 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Greg Sorge | 6060486 | 3 | 06/23/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Samuel Ernest Hargrave | 5891206 | 1 | 06/22/2014 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Bradley R Ernst | 4673794 | 3 | 05/21/2014 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |