CHARLOTTE, NC – The Guiliano Law Group, P.C. has filed a Statement of Claim against Northwestern Mutual Investment Services LLC on behalf of investors before the Financial Industry Regulatory Authority or FINRA seeking damages for fraud, the breach of fiduciary duty, the failure to supervise, negligence and in violation of the federal securities laws and […]
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Tag Archives: Matthew Thomas Cochran
Investors File Claims Against Northwestern Mutual Involving Charlotte Investment Scheme
February 11, 2021 | Posted by : Guiliano Law Group | Alternative Investments, FINRA Securities Arbitration, Hedge Funds, Selling Away and Outside Activities | Comments Off on Investors File Claims Against Northwestern Mutual Involving Charlotte Investment Scheme
Investors Sue Northwestern Mutual For Bad Investment Advice
November 24, 2019 | Posted by : Guiliano Law Group | Defective Option Strategies, Investment and Regulatory News, Securities Arbitration Claims, Unauthorized Trading | 0 Comments
Matthew Thomas Cochran of Charlotte North Carolina a stockbroker formerly employed by Northwestern Mutual Investment Services LLC is the subject of a customer initiated investment related arbitration claim in which the customer requested $300,000.00 in damages based upon accusations that from 2015 to 2018: (1) the customer had been provided bad investment recommendations in regard […]
Read More »Northwestern Mutual Broker Barred For Unauthorized Trading
April 27, 2018 | Posted by : Guiliano Law Group | Investment and Regulatory News, Selling Away and Outside Activities | 0 Comments
Matthew Thomas Cochran of Charlotte North Carolina a stockbroker formerly registered with Northwestern Mutual Investment Services LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he established accounts from customers away from Northwestern Mutual without procuring the firm’s authorization. Letter of […]
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