• Neemit Shah, Formerly of Northwestern Mutual, Suspended and Fined Over Alleged Unapproved, Private Securities Transactions
• Sampson Pearson Jr., Formerly of Northwestern Mutual Investment Services, Accused of Defrauding Clients
• Richard Kelton, Formerly of Northwestern Mutual Investment Services, Named in Customer Dispute Seeking Over $690K
• John Chrysadakis, Formerly of Northwestern Mutual, Barred by FINRA Following Refusal to Provide Information
• Northwestern Mutual Advisor Amanda Justine Sarabia Fails to Comply with FINRA Probe
• Broker Investigation: Donnell Noah Bowen