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 |
|---|---|---|---|---|---|---|---|---|
| James M Casanova | 6683886 | 1 | 11/02/2013 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Justin D Wanek | 5192265 | 1 | 10/11/2013 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Kimberly M Zeigler | 4678470 | 2 | 10/10/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Allan Khayyan Bell | 5121870 | 1 | 10/02/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jay Edward Nachowitz | 2900462 | 1 | 09/30/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Shawn R Mazander | 5787776 | 2 | 09/23/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jedediah L Porter | 5699487 | 1 | 09/09/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| William H Calloway | 7703576 | 2 | 07/24/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jeffrey Warbritton | 4242288 | 3 | 07/23/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Richard Earl Tinker | 6427064 | 3 | 07/23/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |