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 |
|---|---|---|---|---|---|---|---|---|
| Jesse Garza | 7259155 | 2 | 02/15/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Ricky David Taylor | 1596514 | 7 | 02/13/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Tyler Ross Hottel | 5886076 | 1 | 02/06/2012 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Marshall S Wood | 4635045 | 4 | 01/25/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Monica Sinha | 3234116 | 4 | 01/20/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Gerald Rezin Mann | 2653916 | 4 | 01/19/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John Henry Groth | 4295806 | 1 | 01/17/2012 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Travis John Ross | 5566279 | 3 | 01/16/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Andrew Pronold | 5986746 | 1 | 01/12/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Julian Maurice Pouncy | 5124843 | 1 | 01/01/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |