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 |
|---|---|---|---|---|---|---|---|---|
| David Perez | 3220942 | 4 | 07/16/2013 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Brandon J Beza | 4642213 | 1 | 07/15/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Josh Ryan Jacobs | 5915747 | 2 | 06/05/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Daniel P D'Arrigo | 1034478 | 4 | 05/08/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Philip Dylan Baus | 5950818 | 1 | 04/02/2013 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Geoffrey Wrenn | 7635217 | 1 | 03/31/2013 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| William F McKernan | 4615214 | 5 | 03/14/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Joseph Michael Morin | 5551084 | 1 | 03/14/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John Mathews Paul | 1059251 | 1 | 03/06/2013 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Mathew Barber | 4584822 | 2 | 02/22/2013 | Customer Dispute | Denied | $35,300.00 | $0.00 | See FINRA Report |