Northwestern Mutual Investment Services Tag Archives

There are Recent Customer Complaints with Broker Derek Lyght in Firm Northwestern Mutual Investment Services, LLC

December 13, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Derek Lyght (Lyght), currently associated with Northwestern Mutual Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lyght recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $5,000.00 on January 04, 2022.

Customer alleging variable life insurance policy is not suitable for him.

Broker Blake Crousore in Northwestern Mutual Investment Services, LLC Firm Has Customer Complaint

December 13, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Blake Crousore (Crousore), currently associated with Northwestern Mutual Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Crousore recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $5,000.00 on January 04, 2022.

Customer alleges that in or around September 2021, he instructed the Representative to purchase securities in a brokerage account, but instead, the Representative made unauthorized trades in a managed investment advisory account, which the customer alleges he did not authorize to be opened. The customer also alleges that the Representative misled him about executing the trades in a brokerage account while the funds remained in the managed investment advisory account.

There are Recent Customer Complaints with Broker Gerald Donovan in Firm Northwestern Mutual Investment Services, LLC

December 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gerald Donovan (Donovan), currently associated with Northwestern Mutual Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Donovan recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $81,374.00 on January 13, 2022.

The customer alleged that he would not have transferred his funds to the Northwestern Mutual Investment Services advisory account if he would have been made aware of the tax consequences of the transaction.

There are Recent Customer Complaints with Broker Arthur Korsun in Firm Northwestern Mutual Investment Services, LLC

November 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Arthur Korsun (Korsun), currently associated with Northwestern Mutual Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Korsun recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on April 22, 2022.

Claimant alleges the RR recommended an unsuitable Oil & Gas investment.

There are Recent Customer Complaints with Broker Jeffrey Kantar in Firm Northwestern Mutual Investment Services, LLC

November 24, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Kantar (Kantar), currently associated with Northwestern Mutual Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kantar recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $5,000.00 on May 27, 2022.

Customers alleged misrepresentation of their variable income payment plan contracts.

Broker Jeffrey Kantar in Northwestern Mutual Investment Services, LLC Firm Has Customer Complaint

November 18, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Kantar (Kantar), currently associated with Northwestern Mutual Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kantar recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $5,000.00 on May 27, 2022.

Customers alleged misrepresentation of their variable income payment plan contracts.

There are Recent Customer Complaints with Broker Monica Sinha in Firm Northwestern Mutual Investment Services, LLC

November 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Monica Sinha (Sinha), currently associated with Northwestern Mutual Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Sinha recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $167,074.88 on June 03, 2022.

Customer alleges that in or around September 2021, the Representative recommended an unsuitable investment strategy in their advisory account.

Broker Blake Martin in Northwestern Mutual Investment Services, LLC Firm Has Customer Complaint

November 13, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Blake Martin (Martin), currently associated with Northwestern Mutual Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Martin recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $5,000.00 on July 07, 2022.

Customer alleged that in or around January 2022, at the recommendation of the Representative, the customer surrendered existing life insurance policies to purchase a new Northwestern Mutual fixed life insurance policy, and further alleged that this recommendation was not suitable for his needs. The new Northwestern Mutual life insurance policy was purchased with surrender proceeds solely from a non-Northwestern Mutual variable life insurance policy.

Broker Cody Smith in Northwestern Mutual Investment Services, LLC Firm Has Customer Complaint

November 10, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Cody Smith (Smith), previously associated with Northwestern Mutual Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Smith recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $5,000.00 on August 02, 2022.

Customer alleges that in or around April 2021, the Representative failed during the sales process to provide him with a satisfactory understanding of the variable universal life insurance policy purchased. Customer believed he was purchasing an investment that that he could pull his funds from at any time and alleges he was not aware of charges associated with the policy.

Broker James Davis in Northwestern Mutual Investment Services, LLC Firm Has Customer Complaint

October 13, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Davis (Davis), previously associated with Northwestern Mutual Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Davis recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $294,496.00 on August 06, 2025.

Customers allege that in or around March 2021, the Representative did not have the customers’ best interest in mind when he recommended unsuitiable variable universal life insurance policies and that the Representative misrepresented the policies as investments.