Northwestern Mutual Investment Services

There are Recent Customer Complaints with Broker Terrance Meyer in Firm Northwestern Mutual Investment Services, LLC

July 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Terrance Meyer (Meyer), currently associated with Northwestern Mutual Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Meyer 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 $33,000.00 on September 15, 2023.

Customer alleged two variable life insurance policies were not fully explained and alleged breach of fiduciary duty.

There are Recent Customer Complaints with Broker Aaron Stark in Firm Northwestern Mutual Investment Services, LLC

July 4, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Aaron Stark (Stark), currently associated with Northwestern Mutual Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Stark 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 $15,468.67 on October 17, 2023.

Customers allege that in or around December 2022, the Representative misled them when he recommended that they roll over their retirement accounts to Northwestern Mutual brokerage and advisory accounts and sold non-variable whole life insurance policies as investments. Customers feel their accounts have underperformed compared to their previous accounts.

Broker Darcie Goins in Northwestern Mutual Investment Services, LLC Firm Has Customer Complaint

July 4, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint with a damage request of $170,000.00 on October 18, 2023.

The claimant alleges that in 2015 the representative sold high-commission, complex, risky, illiquid alternative investments which were unsuitable and misrepresented to him. The client further alleges that the representative and Firm failed to conduct adequate due diligence.

Broker Kevin Regan in Northwestern Mutual Investment Services, LLC Firm Has Customer Complaint

July 2, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Regan (Regan), currently associated with Northwestern Mutual Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Regan 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 $305,000.00 on October 30, 2023.

Customers, first and second successor trustees of a charitable remainder trust, allege that the Representative failed to invest the trust’s funds in managed advisory accounts according to the trust provisions, and failed to advise customers of same. Customers also allege that their personal assets were not invested in accordance with their risk tolerance or circumstances. The Representative denies the allegations.

There are Recent Customer Complaints with Broker Joshua Puccini in Firm Northwestern Mutual Investment Services, LLC

June 27, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joshua Puccini (Puccini), currently associated with Northwestern Mutual Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Puccini 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 $100,000.00 on November 20, 2023.

Complainant alleges that on the advice of her representatives, she sold securities at her E*Trade account resulting in tax implications.

Broker Hanna Grichanik in Northwestern Mutual Investment Services, LLC Firm Has Customer Complaint

June 27, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Hanna Grichanik (Grichanik), currently associated with Northwestern Mutual Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Grichanik 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 $100,000.00 on November 20, 2023.

Complainant alleges that on the advice of her representatives, she sold securities at her E*Trade account resulting in tax implications.

Broker Matthew Gillette in Northwestern Mutual Investment Services, LLC Firm Has Customer Complaint

June 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Gillette (Gillette), currently associated with Northwestern Mutual Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gillette 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 $20,437.97 on February 26, 2024.

Customer alleging instructions to keep policy in force were not followed and policy was unintentionally surrendered.

There are Recent Customer Complaints with Broker Karen Schmidt in Firm Northwestern Mutual Investment Services, LLC

June 19, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint with a damage request of $400,000.00 on March 11, 2024.

Customers allege that in or around May 2018, the Representative sold them unsuitable non-variable life insurance policies and a fixed annuity, and that the Representative did not inform them of the illiquid nature of the annuity. Customers also allege that the representative initiated a transfer from a brokerage account without their knowledge to fund the fixed annuity.

There are Recent Customer Complaints with Broker Raymond Brown in Firm Northwestern Mutual Investment Services, LLC

June 18, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Raymond Brown (Brown), previously associated with Northwestern Mutual Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Brown 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 $14,396.00 on April 15, 2025.

Customer alleges that the variable universal life insurance policy the Representative recommended in or around March 2024 was not suitable for the customer’s goals.

There are Recent Customer Complaints with Broker Joseph Ward in Firm Northwestern Mutual Investment Services, LLC

June 9, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Ward (Ward), currently associated with Northwestern Mutual Investment Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Ward recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on January 08, 2024.

Time Frame: October 16th 2023 to October 23rd 2023 What were the allegations against the individual? Client verbally alleged the instruction to tender his shares in his stock option account were not followed or actioned.