Corey James Walker, of Manchester, New Hampshire, a stockbroker registered with Northwestern Mutual Investment Services LLC, has been suspended and fined $12,500.00 by New Hampshire Insurance Department because Walker engaged in unapproved solicitations. Case No. INV2022-0002 (September 18, 2023). Walker, while associated with Northwestern Mutual Investment Services LLC, was involved in sending mass solicitation emails…
John Jay Kersey, of Cincinnati, Ohio, a stockbroker registered with Northwestern Mutual Investment Services LLC, is the subject of a customer initiated investment related complaint filed on September 19, 2023, in which the customer requested compensatory damages based upon allegations that Kersey instructed the customer to write personal checks to him and misled the customer…
David Brian Test of Dallas, Texas, a stockbroker registered with Northwestern Mutual Investment Services LLC, was the subject of a customer initiated investment related complaint that was settled on December 21, 2021, for $18,221.12 in damages based upon allegations that Test made omissions of material fact in connection with the sale of municipal bonds during…
Mitchell Charles Barnes (also known as Mitch Barnes), of Louisville, Kentucky, a stockbroker registered with Northwestern Mutual Investment Services LLC, is the subject of a customer initiated investment related FINRA securities arbitration claim in which the customer requested $87,374.00 in damages based upon allegations that Barnes engaged in unauthorized trading in a trust account without…
Jeffrey Bruce Kantar of Northfield, New Hampshire, a stockbroker registered with Northwestern Mutual Investment Services LLC, was the subject of a customer initiated investment related complaint that was settled on October 26, 2022, for $383,232.90 in damages based upon allegations that Kantar made misrepresentations of material fact in connection with the sale of variable annuities…
Roderick Len Whited of Gainesville, Florida, a stockbroker registered with Northwestern Mutual Investment Services LLC, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Whited stole funds belonging to a pediatric cancer charity. Letter of Acceptance, Waiver, and Consent No. 2020065505201 (November 15, 2021). On January 25,…
David Brian Test of Dallas, Texas, a stockbroker registered with Northwestern Mutual Investment Services LLC, has been fined $5,000.00 and suspended for two months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because he falsified documents and forged customer signatures. Letter of Acceptance, Waiver, and Consent No. 2021072263801 (January 19,…
Hans Patrick Kulicke Eveillard of Sarasota, Florida, a stockbroker registered with Alight Financial Solutions LLC and Northwestern Mutual Investment Services, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Eveillard failed to testify during the time that FINRA investigated the stockbroker for possible violations of FINRA rules….
Manish Hemant Shah, of Princeton, New Jersey, a stockbroker registered with Northwestern Mutual Investment Services LLC, is the subject of a customer initiated investment related complaint on May 3, 2019 in which the customer requested $145,865.95 in damages based upon allegations that Shah made misrepresentations, defrauded the customer, and converted the customer’s funds in connection…
Scott S. Niekamp of Chesterfield, Missouri, a stockbroker currently registered with Northwestern Mutual Investment Services LLC, is the subject of a customer initiated investment related FINRA securities arbitration claim in which the customer requested $5,000,000.00 in damages based upon allegations that Niekamp misled the customer, made false representations, failed to disclose important information about investments,…
Daniel L. Bicket (also known as Dan Bicket) of Reinbeck, Iowa, a stockbroker formerly registered with Northwestern Mutual Investment Services, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because he refused to cooperate with FINRA investigators regarding his indexed annuity sales and outside business activities. Letter of…
Chad Mackland of Council Bluff, Iowa, a stockbroker formerly registered with Lion Street Financial and MML Investors Services, has been barred by Securities and Exchange Commission (SEC) from being a stockbroker or an investment adviser representative supported by findings of Mackland pleading guilty to a charge of Ongoing Criminal Conduct. Order Instituting Administrative Proceedings File…
Roderick Len Whited, of Gainesville, Florida, a stockbroker formerly registered with Northwestern Mutual Investment Services, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings of his misuse of funds while he was associated with Northwestern Mutual Investment Services. Letter of Acceptance, Waiver, and Consent No….
William A. Fochi Jr. (also known as Bill Fochi Jr.) of Glastonbury Connecticut a stockbroker formerly registered with Northwestern Mutual Investment Services LLC has been fined $10,000.00 and suspended for four months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based on findings that he engaged in outside business activities…
Scott S. Niekamp of Chesterfield Missouri a stockbroker currently registered with Northwestern Mutual Investment Services LLC has been fined $10,000.00 and suspended for three months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that he failed to disclose outside business activities to Northwestern Mutual and had entered…
Manish Hemant Shah of Princeton New Jersey a stockbroker formerly registered with Northwestern Mutual Investment Services LLC has been fined $15,000.00 and suspended for 20 months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that he borrowed money from a Northwestern customer and had concealed his activities…
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…
Chad T. Mackland of Omaha Nebraska a stockbroker formerly registered with Northwestern Mutual Investment Services is the subject of a customer initiated investment related arbitration claim in which the customer requested $2,871,000.00 in damages based upon allegations that a fiduciary duty that was owed to the customer had been breached and that the customer had…
Northwestern Mutual Investment Services a securities broker dealer headquartered in Milwaukee Wisconsin has been censured and fined $350,000.00 by Financial Industry Regulatory Authority (FINRA) based upon findings that Northwestern Mutual failed to supervise a stockbroker who converted customer funds. Letter of Acceptance Waiver and Consent No. 2017054642101 (Apr. 7, 2020). According to the AWC, five…
John A. Chrysadakisof Norwalk Connecticut 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 neglected to cooperate with FINRA while he was investigated for engaging in fraudulent conduct. Letter of Acceptance…
Meaghan Marie Johnson of Mc Lean Virginia a stockbroker formerly registered with Northwestern Mutual Investment Services has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that Johnson failed to cooperate in a FINRA investigation into accusations of her involvement in forging documents relating to customer…
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…
Daniel Joe Wilson of Columbus Junction Iowa a stockbroker formerly registered with Northwestern Mutual Investment Services has been terminated on February 5, 2018 based upon allegations of (1) Wilson engaging in unauthorized activities in a customer’s account and (2) Wilson engaging in unapproved activities during a time that he was suspended by Financial Industry Regulatory…
Sampson Pearson Jr. of Charlotte North Carolina a stockbroker formerly registered with Northwestern Mutual Investment Services has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by accusations that Pearson declined to cooperate with a FINRA information request. Case No. 2017054269301 (Sept. 22, 2017). According to FINRA Public…
Kejuan Yang of New York New York a former Northwestern Mutual Investment Services registered representative has been fined $5,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that Yang sold away from T3 Trading Group. Letter of Acceptance Waiver and Consent No. 2016050545001…
Amy Marie Jamrog of Holyoke Massachusetts a stockbroker currently registered with Northwestern Mutual Investment Services LLC is the subject of a customer initiated investment related written complaint on March 29, 2018 in which the customer requested $82,000.00 in damages supported by accusations that Jamrog inappropriately recommended for the customer to liquidate stock positions and subsequently…
Donnell Noah Bowen of Washington District of Columbia a former Northwestern Mutual Investment Services LLC registered representative has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he failed to testify before FINRA personnel and provide documentation relating to an investigation into accusations…
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…
Meaghan Marie Johnson of McLean Virginia is a former Northwestern Mutual Investment Services LLC registered representative who is the subject of a customer initiated investment related written complaint on November 28, 2017 in which the customer requested $46,808.90 in damages founded on allegations that Johnson forged the customer’s signatures on life insurance policy documentation and…
Donnell Noah Bowen of Washington DC is a stockbroker formerly registered with Northwestern Mutual Investment Services who has been terminated from employment on January 13 2017 based upon allegations that Bowen left the firm during a time that it investigated him for forging a customer’s signature on account documentation. Financial Industry Regulatory Authority (FINRA) Public…
Judie Marie Borden of Kalamazoo, Michigan, a stockbroker registered with Northwestern Mutual Investment Services, LLC, was terminated on September 7, 2017, based upon a customer’s allegations that Borden inappropriately placed the customer’s signature on account distribution documents. Particularly, Financial Industry Regulatory Authority (FINRA) Public Disclosure confirms that on August 28, 2017, a customer filed an investment…
Daniel Joe Wilson of Columbus Junction, Iowa, a stockbroker registered with Northwestern Mutual Investment Services, LLC, has been fined $7,500.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that effected trades in a customer’s account without authorization. Letter of Acceptance, Waiver and Consent,…
Salvatore Sapienza, of Latham, New York, a registered representative 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 failed to provide information to FINRA in the course of an investigation into allegations of…
Sampson Pearson Junior, of Charlotte, North Carolina, a registered representative formerly associated with Northwestern Mutual Investment Services, has been named in a customer initiated investment related written complaint on April 12, 2017, in which the customer requested more than $5,000.00 in damages based upon allegations that he effected unauthorized transactions in the customer’s account. FINRA…
Samuel Ryan McClain, of Boston, Massachusetts, a stockbroker with Northwestern Mutual Investment Services, LLC, was named in a FINRA Department of Enforcement Complaint alleging that McClain failed to comply with a FINRA investigation into allegations of McClain’s misconduct which consisted, inter alia, of outside business activities. Department of Enforcement v. Samuel Ryan McClain, No. 20150455320-02…
Richard J. Rubin, Jr. of Stamford, Coonecticut, a registered representative for Northwestern Mutual, was fined $5,000 and suspended for fifteen days from association with any Financial Industry Regulatory Authority (FINRA) member firm in any and all capacities after consenting to findings that he engaged in an outside business activity without the written approval of his…
Michael DeMaria, a Stockbroker with Northwestern Mutual, was suspended from association with any Financial Industry Regulatory Authority (FINRA) member in all capacities for twenty months and fined $15,000 after consenting to findings that he caused a transfer of a firm client’s funds without her knowledge or consent, in violation of FINRA Rule 2010. Letter of…