Tag Archives: Northwestern Mutual Investment Services

Northwestern Mutual Sanctioned In Stockbroker Theft Case

April 18, 2020  |   Posted by :   |   Failure To Supervise, Investment and Regulatory News, Misappropriation of Funds, Stockbroker Theft   |   Comments Off on Northwestern Mutual Sanctioned In Stockbroker Theft Case

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 […]

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Northwestern Stockbroker Barred In Investigation

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 […]

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Northwestern Mutual Stockbroker Barred In Investigation

January 10, 2020  |   Posted by :   |   Forgery, Investment and Regulatory News   |   0 Comments

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 […]

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Northwestern Mutual Stockbroker Barred In Theft Investigation

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 […]

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Northwestern Broker Caught Selling Away

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 […]

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FINRA Bars Northwestern Bowen In Investigation

June 21, 2018  |   Posted by :   |   Forgery, Investment and Regulatory News   |   0 Comments

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 […]

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Customer Accuses Northwestern Mutual Of Forgery

April 18, 2018  |   Posted by :   |   Forgery, Investment and Regulatory News   |   0 Comments

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 […]

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Northwestern Terminates Stockbroker For Forgery

March 12, 2018  |   Posted by :   |   Forgery, Investment and Regulatory News   |   0 Comments

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 […]

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Northwestern Broker Terminated For Misusing Signatures

January 10, 2018  |   Posted by :   |   Forgery, Investment and Regulatory News   |   0 Comments

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 […]

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Northwestern Mutual Services Complaint Alleges Unauthorized Transactions

June 08, 2017  |   Posted by :   |   Investment and Regulatory News, Unauthorized Trading   |   0 Comments

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 […]

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