Articles Tagged with Northwestern Mutual Investment Services

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Bryant (Bryant), previously associated with Northwestern Mutual Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bryant 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 $14,229,000.00 on April 04, 2024.

On April 4, 2024 and July 9, 2024, Dr. Bryant received customer complaints related to the recommendation of a potential franchise opportunity, WaterStation Technology, a water vending machine franchise. The complaints alleged that Dr. Bryant breached his fiduciary duty and failed to disclose a material conflict related to the recommendation. All complaints were settled in mediation before any arbitration or civil complaint was initiated. Dr. Bryant denies all liability related to these claims.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ryan Ainsworth (Ainsworth), currently associated with Northwestern Mutual Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Ainsworth 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 $465,000.00 on April 01, 2024.

The customer is alleging misrepresentation and Breach of Fiduciary Duty, Breach of Contract and Covenant of Good Faith and Fair Dealing, Breach of Contract and Negligent Misrepresentation.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Leslie Wood (Wood), currently associated with Northwestern Mutual Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Wood 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 $100,000.00 on April 15, 2024.

Customers allege that in April 2022, Representative changed the investment directive and investment selections in their managed advisory accounts without their knowledge or approval, and that their accounts lost value and the opportunity for additional gains. The customers also allege that in May 2022 Representative presented them with incomplete paperwork and did not disclose to them that the paperwork he asked them to sign would authorize changes to the investment selections in their account. The customers allege that they would not have signed the paperwork otherwise. The customers further allege that in 2021 they deposited funds and instructed Representative that those funds should remain in cash, but the funds were instead invested in an investment account. The Representative denies the allegations.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Henshaw (Henshaw), previously associated with Northwestern Mutual Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Henshaw 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 $5,000.00 on April 22, 2024.

Customer alleges that representative took unauthorized loans from multiple non-variable life insurance policies.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Gravelyn (Gravelyn), previously associated with Northwestern Mutual Investment Services, LLC, has at least 12 disclosable events. These events include 11 customer complaints, one regulatory event, alleging that Gravelyn 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 $1,672.46 on May 03, 2024.

Customer alleged they did not sign non-variable life insurance application documents.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Aaron Bell (Bell), currently associated with Northwestern Mutual Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bell 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 $124,000.00 on June 03, 2024.

FINRA arbitration alleging representative recommended a speculative stock and under management of representative and NMIS the customer’s account went from being relatively diversified to highly concentrated in just two speculative stocks and sustained financial losses.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ralph Stockemer (Stockemer), currently associated with Northwestern Mutual Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Stockemer 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 $1,000,000.00 on June 25, 2024.

Plaintiffs, co-trustees of a family trust and a representative of an account owner’s estate, allege that the account owner’s son and grandson misappropriated the account owner’s funds by exercising undue influence over the account owner and directing her to authorize transfers into and out of an investment advisory account for the benefit of the son and grandson. Plaintiffs allege that representative, who is not a member of plaintiff’s family and is unrelated to the account owner and her son and grandson, aided and abetted the son’s and grandson’s tortious conduct.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joshua Thalacker (Thalacker), currently associated with Northwestern Mutual Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Thalacker 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 $20,000.00 on February 13, 2025.

Customer alleges that representative misrepresented the features of the variable universal life insurance policy and the policy was sold as a solution for retirement planning

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Scott Wedige (Wedige), currently associated with Northwestern Mutual Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Wedige 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 $20,000.00 on February 13, 2025.

Customer alleges that representative misrepresented the features of the variable universal life insurance policy and the policy was sold as a solution for retirement planning

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

FINRA BrokerCheck shows a pending customer complaint on February 06, 2025.

Client alleged that her asset allocation was not appropriate for someone of her age

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