Articles Tagged with Raymond Brown

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 $21,987.00  on February 13, 2025.

Customers allege that in or around July 2024, the Representative misrepresented that two variable life insurance policies would be treated as investment accounts and that ongoing premiums would not be required.

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 2 disclosable events. These events include 2 customer complaints, alleging that Brown recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on November 13, 2024.

Customer alleges that in or around November 2023, the Representative misled the customer in the sale of a variable universal life insurance policy. Customer asserts the rep didn’t provide any investment diversification the customer sought and only recommended life insurance.