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 […]
Read More »FINRA Sanctions Northwestern Stockbroker For Customer Loan
Investors File Claims Against Northwestern Mutual Involving Charlotte Investment Scheme
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 […]
Read More »Northwestern Mutual Sued For Misrepresentation
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 […]
Read More »Investors Sue Northwestern Mutual For Bad Investment Advice
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 Investment Services Terminates Stockbroker For Alleged Misappropriation
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 […]
Read More »Customer Accuses Northwestern Mutual Of Annuity Fraud
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 […]
Read More »Northwestern Mutual Broker Barred For Unauthorized Trading
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 […]
Read More »Northwestern Broker Fined For Unauthorized Trading
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, […]
Read More »Northwestern Mutual Stockbroker Barred
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 […]
Read More »Northwestern Mutual Services Stockbroker Barred In Investigation
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 […]
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