David Lusso at NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC – View Complaints, Disclosures, Scams and Audit Report (Updated 2023)



CRD# 7002620

Disclosure #1 for David Lusso

    • eventDate: 2/5/2002
    • Disclosure Type: Regulatory
    • Disclosure Resolution: Final
    • Disclosure Detail :: DocketNumberFDA:
    • DocketNumberAAO:
    • Initiated By: National Futures Association
    • Allegations: I scratched a trade at the end of the day by selling it back to the broker that sold it to me. I didn’t know that he then put the trade in his personal account. I was fined $500.
    • Resolution: Paid fine without admission of guilt
    • SanctionDetails ::
    • Sanctions: none

Should I file a FINRA complaint against brokers like David Lusso?

Many investors (presumably, like yourself) are unaware of the legal recourse available to them after losing money due to securities broker fraud and/or negligence. The truth is that investors who lost money in this fashion may actually be entitled to damages. You may suffer significant losses at the hands of your financial advisors’ misconduct, such as if they misrepresented or failed to disclose the risks associated with a particular investment, recommended frequent trades for the sole purpose of generating commissions, or used high-pressure tactics to make a sale. The rules and regulations of securities laws and FINRA policies are complex, and investment loss claims require an extensive understanding of securities arbitration to achieve the best possible results.

Update – 2022.11.15If you have suffered investment losses that may have been caused by David Lusso’s negligence or fraud, contact a FINRA lawyer today. Most FINRA lawyers work on a contingency fee basis, meaning that you will not be charged for their services unless they successfully collect money for you. Kindly add a comment, or contact us directly if you have any query, or want to be contacted by a FINRA lawyer today!

BrokerAudit.com helps you make informed choices about brokers and brokerage firms and provides easy access to investment adviser information. Our database reports whether a person or firm is registered, as required by law, to sell securities (stocks, bonds, mutual funds, and more), offer investment advice, or both. We provide you with a snapshot of a broker’s employment history, regulatory actions, investment-related licensing information, arbitrations, and complaints, and allow users to share their experiences and reviews with these brokers and brokerage firms.

Frequently Asked Questions About David Lusso

What is David Lusso’s Central Registration Depository (CRD) Number?

Which firm is David Lusso associated with?


Where is David Lusso located?

5251 W 116TH PL STE 300, LEAWOOD, KS, 66211

Where can I find more details about David Lusso’s Investment Firm?

Visit https://brokercheck.finra.org/firm/summary/2881 to read a detailed report for NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

Are there any disclosures, allegations or complaints filed against David Lusso?

Yes. There are disclosures, allegations, or complaints filed against David Lusso. Click here to view all details

Where can I download a detailed FINRA report for David Lusso?

Click here to download a detailed FINRA report for David Lusso

Is it safe to do business with David Lusso?

We’re not sure. Please research David Lusso’s disclosures, allegations and complaints before taking a decision

Originally reported on November 15, 2022 @ 11:43 pm

The views and opinions expressed in these articles are those of the source BrokerAudit.com and do not necessarily reflect the official position of ‘Skeptic Files’, which shall not be held liable for any inaccuracies presented. The information provided within this article is for general informational purposes only. While we try to keep the information up-to-date and correct, there are no representations or warranties, express or implied, about the completeness, accuracy, reliability, suitability or availability of the information in this article for any purpose.

This article is syndicated automatically through a third-party agency from BrokerAudit.com.

To view the original article at BrokerAudit.com, you can visit https://www.brokeraudit.com/david-lusso-northwestern-mutual-investment-services-llc/.




We will be happy to hear your thoughts

Leave a reply

The Skeptic Files
Register New Account