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 |
|---|---|---|---|---|---|---|---|---|
| Sawyer C Green | 7522208 | 3 | 06/20/2012 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Monica Sinha | 3234116 | 4 | 05/29/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Wesley J Petteway | 6302320 | 3 | 05/23/2012 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Brooks Ryan Allen Berueffy | 6614275 | 2 | 05/07/2012 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Slade Kosova | 3018305 | 1 | 04/13/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Justin Alex Krieger | 5720906 | 1 | 04/10/2012 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Joseph Daniel Cesmirosky | 1427459 | 1 | 04/06/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Warbritton | 4242288 | 3 | 04/04/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Mario Christopher Melendez | 5747309 | 1 | 03/30/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Tim W Snow | 4820044 | 1 | 02/22/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |