Tag Archives: Scott S. Niekamp

Northwestern Mutual Stockbroker Sanctioned By FINRA

July 07, 2021  |   Posted by :   |   FINRA Securities Arbitration, Investment and Regulatory News, Selling Away and Outside Activities   |   Comments Off on Northwestern Mutual Stockbroker Sanctioned By FINRA

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 […]

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