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 |
|---|---|---|---|---|---|---|---|---|
| Erik T Whittle | 5185625 | 1 | 09/21/2011 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Robert Leonard Erkel | 1286236 | 1 | 09/12/2011 | Customer Dispute | Settled | $17,000.00 | $0.00 | See FINRA Report |
| Kerri Carnahan | 6544214 | 2 | 08/26/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Clyde James Reasner | 1457788 | 1 | 08/22/2011 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| David Randall Lester | 3277822 | 2 | 08/12/2011 | Customer Dispute | Denied | $20,000.00 | $0.00 | See FINRA Report |
| Thomas M Stafford | 4542958 | 1 | 08/12/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Steven Martin Moats | 3101966 | 1 | 08/01/2011 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Chad Urie Frank | 7005719 | 2 | 07/27/2011 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Adam Zachary Fort | 6977679 | 1 | 06/27/2011 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Chad Urie Frank | 7005719 | 2 | 06/24/2011 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |